ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIRPart 5.4 Transactions by connected persons(including persons connected with other MarketParticipants)ASX Market Rule/Procedure/Appendices toProcedure7.8 TRANSACTIONS BY CONNECTEDPERSONS (INCLUDING PERSONSCONNECTED WITH OTHER MARKETPARTICIPANTS)Explanation of any differences[Part heading]5.4.1 Application 7.8.1 Application ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.5.4.2 Internal consent required for trading byconnected personsPart 5.5 Participant’s trading infrastructure7.8.2 Internal consent required for trading byconnected personsASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.[Part heading]5.5.1 Knowledge of Trading Participant 13.1.2 Knowledge of Trading Participant ASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.5.5.2 Organisational and technical resources 13.1.5 Organisational and technical resources ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Trading Participants must have thenecessary organisational and technical resources to ensure theTrading Participant complies at all times with both the ASX MarketRules and the Market Integrity Rules (which are based on ASX MarketRules).5.5.3 Trading management arrangements 13.1.6 Trading management arrangements ASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.5.5.4 Trading management arrangements—Records13.1.10 Records—identification of order sourceProcedure 13.1.10 Records—identification oforder sourceASIC has adopted this ASX Market Rule and Procedure (to the extentthey relate to records of trading management arrangements) as asingle Market Integrity Rule, with drafting amendments.Part 5.6 Automated Order Processing—Filters,conduct and infrastructure13.3 AUTOMATED ORDER PROCESSING [Part heading]Copyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIRASX Market Rule/Procedure/Appendices toProcedureExplanation of any differences5.6.1 Responsible use of system for AutomatedOrder Processing13.3.1 Automated Order Processing ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.5.6.2 Authorised Persons for Automated ClientOrder Processing5.6.3 Automated Order Processing systemrequirements5.6.4 Review of documentation and systemsprior to use of Automated Order Processingsystem13.3.2 Authorised Persons for Automated ClientOrder Processing13.3.4 Certification prior to conductingAutomated Order ProcessingProcedure 13.3.4 Certification prior toconducting Automated Client Order processingAppendix 13.3.4 CERTIFICATION OFAUTOMATED ORDER PROCESSINGSYSTEMS13.3.4 Certification prior to conductingAutomated Order ProcessingProcedure 13.3.4 Certification prior to conducingAutomated Client Order processingAppendix 13.3.4 CERTIFICATION OFAUTOMATED ORDER PROCESSINGSYSTEMSASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Paragraph (a) of the ASX Market Rule hasnot been replicated.ASIC has adopted elements of this ASX Market Rule, Procedure andAppendix as a single Market Integrity Rule, with drafting amendments.Trading Participants must ensure their Automated Order Processingsystems have in place organisational and technical resources, tradingmanagement arrangements and security arrangements.ASIC has adopted elements of this ASX Market Rule, Procedure andAppendix as a single Market Integrity Rule, with drafting amendments.Trading Participants must to perform a review of their AutomatedOrder Processing systems for the purposes of certification.5.6.5 Representations as to organisational andtechnical resources, trading managementarrangements and security arrangements, priorto use of Automated Order Processing system13.3.4 Certification prior to conductingAutomated Order ProcessingProcedure 13.3.4 Certification prior to conducingAutomated Client Order processingAPPENDIX 13.3.4 CERTIFICATION OFAUTOMATED ORDER PROCESSINGSYSTEMSASIC has adopted elements of this ASX Market Rule, Procedure andAppendix as a single Market Integrity Rule, with drafting amendments.Trading Participants must obtain representations in relation to theAutomated Order Processing system for the purposes of certification.Copyright Australian Securities and Investments Commission. Reproduced with permission.
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