ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

LexisNexis Appendix: ASIC Market Integrity Rules (ASX Market) 2010Table 4: Tracing ASX Appendices to Procedures to ASIC Market Integrity Rules (ASX Market) 2010ASX Appendices to ProceduresASIC/ASX MIR4.1.3 Responsibilities of Responsible Executive 2.3.3 Annual review and representation to Market Participant4.8—2 Responsible Executive (RE) Continuing education self assessments 2.3.5 Annual continuing education and compliance self-assessment7.1.2—1 Futures client agreement—minimum terms 3.1.6 Minimum terms of Client Agreement for Futures Market Contracts7.1.2— Addendum to Futures Client Agreement—Futures Contracts over anUnderlying Commodity which is Grain—Client Agreement —Minimum TermsNo equivalent market integrity rule proposed7.1.2—2 Options client agreements—minimum terms 3.1.7 Minimum terms of Client Agreement for Options Market Contracts7.1.2—3 ASX warrant client agreement form 3.1.8 Client Agreement for Warrants7.1.2—4 Partly Paid Security Client Agreement Form 3.1.9 Client Agreement for Partly Paid Securities7.1.4 Wholesale client agreements—options market contract only No equivalent market integrity rule proposed7.11.9 Reconciliation of Client Funds 3.5.8 Reconciliation of clients’ segregated accounts8.2.1—1 Application to be a DTR under Market Rule 8.2.1 No equivalent market integrity rule proposed8.2.1—2 Application to be a trainee DTR No equivalent market integrity rule proposed8.2.1—4 Application to establish a special liability limit for a DTR or trainee DTR No equivalent market integrity rule proposed8.5.1(A)—1 Application to be an accredited futures adviser8.5.1(A)—2 Application to be a level one accredited derivatives adviser8.5.1(A)—3 Application to be a level two accredited derivatives adviser8.5.1(D)—1 Declaration by applicant for accreditation as an accredited futures adviser2.4.6 Accreditation—Accredited Futures Adviser2.4.7 Accreditation—Level One Accredited Derivatives Adviser2.4.8 Accreditation—Level Two Accredited Derivatives Adviser2.4.6 Accreditation—Accredited Futures AdviserCopyright Australian Securities and Investments Commission. Reproduced with permission.