ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASX Market RuleASIC/ASX MIR2.4.3 State of mind of a person 1.1.7 State of mind of a person2.10 DEFINITIONS 1.4.3 Definitions3.3.2 Assessment of character 2.1.4 Persons involved in the business—Good fame and character requirement3.4.2 Integrity of applicant which is a body corporate 2.1.4 Persons involved in the business—Good fame and character requirement3.6 MANAGEMENT REQUIREMENTS Part 2.1 Management requirements3.6.1 Management structure 2.1.1 Management structure2.1.2 Notification of management structure3.6.3 Supervisory procedures 2.1.3 Supervisory procedures3.6.4 Persons involved in the business 2.1.4 Persons involved in the business—Good fame and character requirement3.6.5 Responsible Executive requirements 2.1.4 Persons involved in the business—Good fame and character requirement2.3.1 Appointment or resignation of Responsible Executives2.1.5 Unprofessional Conduct3.6.6 Suitably qualified affiliate No equivalent market integrity rule proposed4.1.1 General Compliance by Market Participants 2.1.5 Unprofessional Conduct4.1.2 Responsibility for individuals involved in business 2.1.6 Responsibility for individuals involved in business4.1.3 Responsibilities of Responsible Executive 2.3.2 Ongoing responsibilities of Market Participants in relation to ResponsibleExecutives2.3.3 Annual review and representation to Market Participant4.3.2 Change of Directors, Responsible Executives, management structures and otherdetails2.3.1 Appointment or resignation of Responsible Executives2.1.2 Notification of management structureCopyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASX Market RuleASIC/ASX MIR4.6 INSURANCE REQUIREMENTS Part 2.2 Insurance and information requirements4.6.1 Obligation to have insurance 2.2.1 Insurance requirements—Obligation to have insurance4.6.2 Insurance with Related Body Corporate 2.2.2 Insurance requirements—Insurance with Related Body Corporate4.6.3 Notification of amount and period of cover 2.2.3 Insurance requirements—Notification of amount and period of cover4.6.4 Notification of claims 2.2.4 Insurance requirements—Notification of claims4.6.5 Notification of other matters No equivalent market integrity rule proposed4.7 BUSINESS CONNECTIONS BETWEEN MARKET PARTICIPANTS Part 5.2 Business connections between Market Participants4.7.1 Connections requiring ASX consent 5.2.1 Connections requiring ASIC consent4.7.2 Access to records 5.2.2 Access to records4.7.3 Undertakings No equivalent market integrity rule proposed4.8.1 Responsible Executive compliance 2.3.4 Continuing education requirements for Responsible Executives4.10 TRADING RECORDS Part 4.1 Trading records4.10.1 Record of dealings for clients 4.1.1 Record of dealings for clients4.10.2 Record of dealings on own account 4.1.2 Record of dealings on Own Account4.10.5 Records to be made immediately 4.1.3 Records to be made immediately4.10.6 Records to be retained for prescribed period 4.1.4 Records to be retained for prescribed period4.10.7 Certain records maintained by ASX 4.1.5 Certain records maintained by the Market OperatorCopyright Australian Securities and Investments Commission. Reproduced with permission.
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ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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