ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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.