ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis ASIC Market Integrity Rules (ASX Market) 2010(2) For the purposes of subrule (1), the Market Participant may satisfy the obligationspecified in column 1 of the following table by relying on records maintained by the MarketOperator in the circumstances specified in column 2 of the following table:Column 1:A Market Participant may satisfy the obligation:under paragraph 4.1.1(2)(g) to maintain records ofthe name of the DTR who entered a TradingMessage into the Trading Platformunder paragraph 4.1.1(2)(h) to maintain records ofthe time of the Trading Messageunder paragraph 4.1.1(2)(i) to maintain records ofthe date and time that a Trading Message gives riseto a Market Transactionunder subparagraph 4.1.2(2)(a)(i) to maintainrecords of the name of a person who made thedecision, where that person is the DTR who enteredthe Trading Messageunder subparagraph 4.1.2(2)(a)(ii) to maintainrecords of the Financial Products to be bought orsoldunder subparagraph 4.1.2(2)(a)(iii) to maintainrecords of the number of Financial Products to bebought or soldunder subparagraph 4.1.2(2)(a)(iv) to maintainrecords of price-related decisions to enter into aMarket Transactionunder paragraph 4.1.2(2)(b) to maintain records ofan amendment to a Trading Messageunder paragraph 4.1.2(2)(d) to maintain records ofthe name of the DTR who entered the TradingMessageunder paragraph 4.1.2(2)(e) to maintain records ofthe time of a Trading Messageunder paragraph 4.1.2(2)(f) to maintain records ofthe time that a Trading Message gives rise to aMarket TransactionColumn 2:by relying on records maintained by the MarketOperator in the following circumstances:where the DTR identifier is contained in the TradingMessage and recorded by the Trading Platform (theDTR who entered the Trading Message being taken tobe the DTR whose identifier is so recorded)where the Trading Platform records the time theTrading Message was entered into the Trading Platformwhere the Trading Platform records the date and timeof effecting of the Market Transactionwhere the DTR identifier is contained in the TradingMessage and recorded by the Trading Platform (theperson who made the decision being taken to be theDTR whose identifier is so recorded)where the Financial Products are entered into theTrading Platform for the particular Trading Message(which are taken to be the Financial Products decidedor instructed to be bought or sold)where the number of Financial Products is entered intothe Trading Platform for the particular Trading Message(which is taken to be the number of Financial Productsdecided or instructed to be bought or sold)where the price is entered into the Trading Platform forthe particular Trading Message (which is taken to bethe price at which the Financial Products are decided orinstructed to be bought or sold)where the particulars of the Trading Message areentered into the Trading Platformwhere the DTR identifier is contained in the TradingMessage and recorded by the Trading Platform (theDTR who entered the Trading Message being taken tobe the DTR whose identifier is so recorded)where the Trading Platform records the time theTrading Message was entered into the Trading Platformwhere the Trading Platform records the time of effectingof the Market TransactionNote: There is no penalty for this Rule.Copyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis ASIC Market Integrity Rules (ASX Market) 20104.1.7 Records of dealings for clients by a Market Participant who instructsanother Trading Participant to execute the dealingsA Market Participant that instructs another Trading Participant to enter into a MarketTransaction on behalf of a person:(a)(b)need not comply with paragraphs 4.1.1(2)(e), (f), (g), (h), (i) and (j) in respect of thatinstruction;must maintain sufficiently detailed records in respect of such instruction showing:(i)(ii)the name of the person who received the instructions;the name of any person who passed the instruction on between the person whoinitially received the instruction and the person instructing the Trading Participantto enter into the Market Transaction;(iii) the name of the person who instructed such Trading Participant to enter into theMarket Transaction; and(iv) the time the person instructed such Trading Participant to enter into the MarketTransaction.Maximum penalty: $100,0004.1.8 Records of dealings on its Own Account by a Market Participant whoinstructs another Trading Participant to execute the dealingsA Market Participant (whether or not it is a Trading Participant) that instructs a TradingParticipant to enter into a Market Transaction on its behalf:(a)(b)need not comply with paragraphs 4.1.2(2)(c), (d), (e) and (f) in respect of thatinstruction; andmust maintain sufficiently detailed records in respect of such instruction showing:(i)(ii)the name of any person who passed the instruction on between the person whoinitially gave the instruction or made the decision and the Trading Participantinstructed to enter into the Market Transaction;the name of the person who instructed such Trading Participant to enter into theMarket Transaction; and(iii) the time the person instructed such Trading Participant to enter into the MarketTransaction.Maximum penalty: $100,0004.1.9 Records regarding Authorised PersonsA Trading Participant must maintain records of:(a)the name and contact details of an Authorised Person, and if that Authorised Person isan agent of another person, the details of that other person; andCopyright Australian Securities and Investments Commission. Reproduced with permission.
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ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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