ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

LexisNexis ASIC Market Integrity Rules (ASX Market) 2010“Order” means:(a)(b)in relation to Cash Market Products, an instruction to purchase or sell Cash MarketProducts, or an instruction to amend or cancel a prior instruction to purchase or sellCash Market Products; andin relation to Derivatives Market Contracts, an instruction to enter into a DerivativesMarket Transaction, or an instruction to amend or cancel a prior instruction to enter intoa Derivatives Market Transaction.“Own Account” has the meaning given by Rule 5.1.1.“Other Regulated Entities” means entities prescribed by regulations made for the purposesof paragraph 798H(1)(c) of the Corporations Act, that must comply with these Rules.“Overseas Broker” means a broker whose principal place of business is located outsideAustralia.“Partly Paid Security” means a Quoted Product for which the holder may be liable to pay acall or instalment in accordance with the terms of issue and for which an amount remainsunpaid, but does not include a Quoted Product issued by a no liability company.“Prescribed Person” means, in relation to a Market Participant:(a) an Employee, a director, a partner, or Responsible Executive of the Market Participant;(b) a Controller of the Market Participant or a Related Body Corporate of that Controller;(c) the Immediate Family of a person referred to in paragraphs (a) or (b);(d) a Family Company and a Family Trust of a person referred to in paragraphs (a) to (c);and(e) where a Market Participant or a person referred to in paragraphs (a) to (d) is a bodycorporate, any body corporate or other entity controlled by that body corporate.“Principal”, in the context of “as Principal” has the meaning given to that term in Rule3.2.5.“Principal Trader” means a Market Participant with Trading Permission for one or moreProducts which limits it to trading on its own behalf.“Product” means a Cash Market Product or a Derivatives Market Contract, as applicable.“Qualifying Bid or Offer” means, in relation to an Auction, a Bid or Offer in the TradingPlatform at the commencement of the Auction.“Quoted Product” means a Financial Product that has been granted Official Quotation.“Recognised Overseas Stock Exchange” means a Recognised Stock Exchange whoseprincipal place of business is located outside Australia.“Recognised Stock Exchange” has the meaning given by the Market Operating Rules.Copyright Australian Securities and Investments Commission. Reproduced with permission.