ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASX Market RuleASIC/ASX MIR8.4.1 Types of accredited advisers 2.4.2 Extent of advice to clients—Level One Accredited Derivatives Adviser2.4.4 Extent of advice to clients— Level Two Accredited Derivatives Adviser2.4.5 Extent of advice to clients—Accredited Futures Adviser8.5.1 Initial application 2.4.6 Accreditation—Accredited Futures Adviser2.4.7 Accreditation—Level One Accredited Derivatives Adviser2.4.8 Accreditation—Level Two Accredited Derivatives Adviser2.4.9 Acceptance of application8.5.2 Rejection of application 2.4.10 Rejection of application8.6.1 Exemption for other accreditation and experience 2.4.11 Exemption for other accreditation and experience8.6.2 Further information 2.4.11 Exemption for other accreditation and experience8.6.3 Examination may be required 2.4.11 Exemption for other accreditation and experience8.6.4 Perpetual exemptions previously granted continue to remain in force No equivalent market integrity rule proposed8.7.1 Maximum number of examinations 2.4.12 Examinations8.7.2 Permission to sit additional examinations 2.4.12 Examinations8.8.1 Renewal 2.4.13 Renewal of accreditation2.4.14 Acceptance of application8.8.2 Renewal subject to conditions 2.4.15 Rejection of application or renewal subject to conditions8.8.3 Effect of non-renewal 2.4.16 Effect of non-renewal8.8.4 Recently accredited advisers No equivalent market integrity rule proposedCopyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010ASX Market RuleASIC/ASX MIR8.9.1 Automatic withdrawal 2.4.17 Automatic withdrawal of accreditation8.9.2 Notice of events resulting in automatic withdrawal 2.4.17 Automatic withdrawal of accreditation8.9.3 Voluntary withdrawal 2.4.18 Voluntary withdrawal of accreditation8.9.4 Notice of voluntary withdrawal 2.4.18 Voluntary withdrawal of accreditation8.9.5 Suspension or withdrawal by ASX 2.4.19 Suspension or withdrawal by ASIC8.10.1 Re-accreditation 2.4.20 Re-accreditation after withdrawal or expiry8.11.1 Market Participant to ensure professional education requirements met 2.4.21 Continuing Professional Education Requirements for Accredited Advisers12.5.2 Trading Participant must allocate unique identifier 2.5.6 Trading Participant must allocate unique identifier13.1.1 Responsibility of Trading Participant 2.5.4 Responsibility of Trading Participant13.1.2 Knowledge of Trading Participant 5.5.1 Knowledge of Trading Participant13.1.3 Trading in a Trading Platform 2.5.1 Trading in a Trading Platform13.1.5 Organisational and technical resources 5.5.2 Organisational and technical resources13.1.6 Trading management arrangements 5.5.3 Trading management arrangements13.1.t10 Records—identification of order source2.5.7 Records—DTRs5.5.4 Trading management arrangements—Records13.2.1 Trading Participant must have a DTR 2.5.2 Trading Participant must have a DTR13.2.2 DTRs may submit Trading Messages 2.5.3 DTRs may submit Trading Messages13.3 AUTOMATED ORDER PROCESSING Part 5.6 Automated Order Processing—Filters, conduct and infrastructureCopyright Australian Securities and Investments Commission. Reproduced with permission.
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ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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