ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASX Market RuleASIC/ASX MIR7.4.1 Market Participant restrictions 3.3.1 Market Participation restrictions7.5 CLIENT ORDER PRIORITY Part 5.1 Client order priority7.5.1 Application and meaning of dealing on “own account” 5.1.1 Application and meaning of dealing on “Own Account”7.5.2 Exceptions 5.1.2 Exceptions7.5.3 Fairness and priority in dealing 5.1.3 Fairness and priority in dealing7.5.4 Relevant factors 5.1.4 Relevant factors7.5.5 Fairness and priority in allocation 5.1.5 Fairness and priority in allocation7.5.6 Relevant factors 5.1.6 Relevant factors7.6 MARKET FACILITATION FOR LARGE ORDERS—FUTURES MARKETCONTRACTSPart 5.3 Large Order facilitation7.6.1 Actions a Market Participant may take when insufficient opposite orders 5.3.1 Futures Market Contracts—Action a Market Participant may take wheninsufficient opposite orders7.6.2 Application 5.3.2 Application7.7.1 Disclosure to client 5.1.8 Allocation policy and Automated Client Order Processing Crossings—disclosure to client7.8 TRANSACTIONS BY CONNECTED PERSONS (INCLUDING PERSONSCONNECTED WITH OTEHR MARKET PARTICIPANTS)Part 5.4 Transactions by connected persons(including persons connected with otherMarket Participants)7.8.1 Application 5.4.1 Application7.8.2 Internal consent required for trading by connected persons 5.4.2 Internal consent required for trading by connected personsCopyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASX Market RuleASIC/ASX MIR7.9 REPORTING TO CLIENTS Part 3.4 Reporting to Clients7.9.1 Confirmations—form and timing 3.4.1 Confirmations—Form and timing7.9.2 Confirmations—accumulation and price averaging 3.4.2 Confirmations—accumulation and price averaging7.9.3 Confirmations—clients other than Retail Clients 3.4.3 Confirmations—clients other than Retail Clients7.10.2 Derivatives Market Transactions and Warrants 2.4.22 Managed Discretionary Accounts—Derivatives Market Transactions andWarrants7.10.5 Excessive transactions in Managed Discretionary Account 3.3.2 Excessive trading7.11 CLIENT MONEY AND PROPERTY 3.5 Client Money and Property7.11.1 Obligation to comply with Corporations Act No equivalent market integrity rule proposed7.11.2 Trust accounts—Cash Market Transactions and Options Market Transactions 3.5.1 Trust accounts—Cash Market Transactions and Options Market Transactions7.11.3 Segregated accounts or trust accounts—Futures Market Transactions 3.5.2 Segregated accounts or trust accounts—Futures Market Transactions7.11.4 Bank accounts to be with Australian ADI 3.5.3 Bank accounts to be with Australian ADI7.11.5 Approved foreign banks 3.5.4 Approved foreign banks7.11.6 Change of rating or approval of ADI 3.5.5 Change of rating or approval of ADI7.11.7 Liquidity requirement—clients’ segregated accounts—Futures MarketTransactions7.11.8 Top up requirement—clients’ segregated accounts—Futures MarketTransactions3.5.6 Liquidity requirement—clients’ segregated accounts—Futures MarketTransactions3.5.7 Top up requirement—clients’ segregated accounts—Futures MarketTransactions7.11.9 Reconciliation of clients’ segregated accounts 3.5.8 Reconciliation of clients’ segregated accountsCopyright Australian Securities and Investments Commission. Reproduced with permission.
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ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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