ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASIC/ASX MIR5.6.6 Certification of Automated OrderProcessing systemASX Market Rule/Procedure/Appendices toProcedure13.3.4 Certification prior to conductingAutomated Order ProcessingProcedure 13.3.4 Certification prior to conducingAutomated Client Order processingAppendix 13.3.4 CERTIFICATION OFAUTOMATED ORDER PROCESSING SYSTEMSExplanation of any differencesASIC has adopted elements of this ASX Market Rule, Procedure andAppendix as a single Market Integrity Rule, with drafting amendments.Trading Participants must provide ASIC with a certification of theAutomated Order Processing system prior to using the system.5.6.7 Material changes 13.3.5 Material changesProcedure 13.3.5 Material changes5.6.8 Material change review 13.3.5 Material changesProcedure 13.3.5 Material changesAppendix 13.3.5(A)—AOP MATERIAL CHANGECONFIRMATIONAppendix 13.3.5(B)—AOP MATERIALCHANGE—FURTHER CERTIFICATION5.6.9 Material change confirmation 13.3.5 Material changesProcedure 13.3.5 Material changesAppendix 13.3.5(A)—AOP MATERIAL CHANGECONFIRMATION5.6.10 Material change further certification 13.3.5 Material changesPROCEDURE 13.3.5 Material changesAPPENDIX 13.3.5(B)—AOP MATERIALCHANGE—FURTHER CERTIFICATIONASIC has adopted this ASX Market Rule and Procedure as a singleMarket Integrity Rule, with drafting amendments. Trading Participantsmust perform a review of material changes to the Automated OrderProcessing system and provide, at the option of ASIC, a confirmationor further certification, prior to implementing the material changes.ASIC has adopted elements of this ASX Market Rule, Procedure andAppendices as a single Market Integrity Rule, with draftingamendments. Trading Participants must perform a review of materialchanges to the Automated Order Processing system prior to providingASIC with a confirmation or further certification.ASIC has adopted elements of this ASX Market Rule, Procedure andAppendix as a single Market Integrity Rule, with drafting amendments.The Market Integrity Rule sets out requirements for confirmationsprovided by the Trading Participant to ASIC prior to implementingmaterial changes.ASIC has adopted elements of this ASX Market Rule, Procedure andAppendix as a single Market Integrity Rule, with drafting amendments.The Market Integrity Rule sets out requirements for furthercertifications to be provided by the Trading Participant to ASIC prior toimplementing material changes.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 differences5.6.11 Further certification 13.3.6 Further certification ASIC has adopted this ASX Market Rule and Procedure as a singleMarket Integrity Rule, with drafting amendments. Trading Participantsmust, if directed to do so by ASIC, provide a further certification inrelation to their Automated Order Processing systems.5.6.12 Limitations on Automated OrderProcessingPart 5.7 Manipulative trading13.3.8 Limitations on Automated OrderProcessing13.4 PREVENTION OF MANIPULATIVETRADINGASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments. Trading Participants must, if directed to doso by ASIC, cease conducting Automated Order Processing orsuspend, limit, or prohibit the conduct of Automated OrderProcessing.[Part heading]5.7.1 False or misleading appearance 13.4.1 False or misleading appearance ASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.5.7.2 Circumstances of Order 13.4.2 Circumstances of Order ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.5.7.3 Obligations apply to Automated OrderProcessingPart 5.8 Prohibition on wash trades, prearrangedtrades and dual trading—Futures13.4.4 Obligations apply to Automated OrderProcessing13.5 PROHIBITION ON WASH TRADES, PRE-ARRANGED TRADES AND DUAL TRADING—FUTURESASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.[Part heading]5.8.1 Application of Rule 5.8 13.5.1 Application of Rule 13.5 ASIC has adopted this ASX Market Rule as a Market Integrity Rule,with drafting amendments.5.8.2 Wash trades 13.5.2 Wash trades ASIC has adopted this ASX Market Rule as a Market Integrity Rule,without drafting amendments.Copyright Australian Securities and Investments Commission. Reproduced with permission.
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ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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