ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis
ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis
ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis
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<strong>LexisNexis</strong> Appendix: <strong>ASIC</strong> <strong>Market</strong> <strong>Integrity</strong> <strong>Rules</strong> (<strong>ASX</strong> <strong>Market</strong>) <strong>2010</strong><strong>ASIC</strong>/<strong>ASX</strong> MIR3.6.2 <strong>Market</strong> Participant possesses informationthat is not generally available<strong>ASX</strong> <strong>Market</strong> Rule/Procedure/Appendices toProcedure7.18.2 <strong>Market</strong> Participant possesses informationthat is not generally availableExplanation of any differences<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule as a <strong>Market</strong> <strong>Integrity</strong> Rule,with drafting amendments.3.6.3 Chinese Walls in place 7.18.3 Chinese Walls in place <strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule as a <strong>Market</strong> <strong>Integrity</strong> Rule,with drafting amendments. The definition of “Chinese Walls” has beenincorporated into this <strong>Market</strong> <strong>Integrity</strong> Rule from <strong>ASX</strong> <strong>Market</strong> Rule7.18.1.3.6.4 Certain actions do not constitute givingadviceChapter 4: Records7.18.4 Certain actions do not constitute givingadvice<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule as a <strong>Market</strong> <strong>Integrity</strong> Rule,with drafting amendments.[Chapter heading]Part 4.1 Trading records 4.10 TRADING RECORDS [Part heading]4.1.1 Records of dealings for clients 4.10.1 Records of dealings for clients <strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule as a <strong>Market</strong> <strong>Integrity</strong> Rule,with drafting amendments.4.1.2 Records of dealings on Own Account 4.10.2 Records of dealings on own account <strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule as a <strong>Market</strong> <strong>Integrity</strong> Rule,with drafting amendments.4.1.3 Records to be made immediately 4.10.5 Records to be made immediately <strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule as a <strong>Market</strong> <strong>Integrity</strong> Rule,with drafting amendments.4.1.4 Records to be retained for prescribedperiod4.10.6 Records to be retained for prescribedperiodProcedure 4.10.6 RECORDS TO BEMAINTAINED FOR PRESCRIBED PERIOD<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule and Procedure as a single<strong>Market</strong> <strong>Integrity</strong> Rule, with drafting amendments.4.1.5 Certain records maintained by the <strong>Market</strong>Operator4.10.7 Certain records maintained by <strong>ASX</strong> <strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule as a <strong>Market</strong> <strong>Integrity</strong> Rule,with drafting amendments.Copyright Australian Securities and Investments Commission. Reproduced with permission.
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