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> MIR4.1.6 Conditions for reliance on the <strong>Market</strong>Operator records4.1.7 Records of dealings for clients by a <strong>Market</strong>Participant who instructs another TradingParticipant to execute the dealings4.1.8 Records of dealings on its Own Account bya <strong>Market</strong> Participant who instructs anotherTrading Participant to execute the dealings<strong>ASX</strong> <strong>Market</strong> Rule/Procedure/Appendices toProcedure4.10.8 Conditions for reliance on <strong>ASX</strong> recordsProcedure 4.10.8 Reliance on <strong>ASX</strong> records4.10.9 Records of dealings for clients by a<strong>Market</strong> Participant who instructs another TradingParticipant to execute the dealings4.10.10 Records of dealings on its Own Accountby a <strong>Market</strong> Participant who instructs anotherTrading Participant to execute the dealingsExplanation of any differences<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.<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.<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.4.1.9 Records regarding Authorised Persons 13.3.3 Records regarding Authorised PersonsProcedure 13.3.3 Records regarding AuthorisedPersons<strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule and Procedure as a <strong>Market</strong><strong>Integrity</strong> Rule, with drafting amendments.4.1.10 Telephone recording of client dealings—Futures <strong>Market</strong> TransactionsPart 4.2 Records—General7.15 TELEPHONE RECORDING OF CLIENTDEALINGS—FUTURES MARKETTRANSACTIONS7.15.1 <strong>Market</strong> Participant must record<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.[Part heading]4.2.1 General recordkeeping requirements Procedure 4.9.2 RECORDS <strong>ASIC</strong> has adopted this <strong>ASX</strong> <strong>Market</strong> Rule Procedure as a <strong>Market</strong><strong>Integrity</strong> Rule, with drafting amendments.4.2.2 Client complaints—Records of complaintsand correspondence7.16.1 Register of complaints andcorrespondence7.16.2 Records to be keptProcedure 7.16.2 Records to be kept (clientcomplaints)<strong>ASIC</strong> has adopted these <strong>ASX</strong> <strong>Market</strong> <strong>Rules</strong> and this Procedure as asingle <strong>Market</strong> <strong>Integrity</strong> Rule, with drafting amendments.Copyright Australian Securities and Investments Commission. Reproduced with permission.
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