ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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LexisNexis ASIC Market Integrity Rules (ASX Market) 2010Chapter 7: Rules applying to Market OperatorsPart 7.1 Data feeds7.1.1 Provision of live electronic data from the Trading Platform(1) The Market Operator must deliver, or procure delivery of, a live feed of the electronic dataitems set out in subrule (2) as generated on or by its Trading Platform to ASIC or to a serviceprovider nominated by ASIC and notified to the Market Operator in accordance with Rule 7.1.2.Order information from Trading Platform(2) Electronic data provided pursuant to subrule (1) must contain such data items and fieldswhich are generated on or by the Market Operator’s Trading Platform containing all Ordersentered on the Market Operator’s Trading Platform, being:(a)(b)(c)(d)(e)(f)(g)(h)order price and volume entries;order amendments;trade price and volume entries;any special trade condition codes;broker number and identifier code;participant operator cross-reference data, where that data is available;information comprising details of the Financial Products traded through the TradingPlatform, being:(i)(ii)name of Issuer or publicly available issuer code;tick size;(iii) lot size;(iv) basis of quotation;(v)time stamps on all order entries, trades, amendments, cancellations and deletions; and(vi) unique order identifier or, if this is not available, unique order series identifier; andsuch additional data items or fields notified by ASIC to the Market Operator under Rule7.1.2 which are generated on or by the Market Operator’s Trading Platform, providedthat a Market Operator is not required to provide fields that are not generated on or bythe Market Operator’s Trading Platform.Format requirements(3) The electronic data required by subrule (1) must be in such format as ASIC notifies theMarket Operator in accordance with Rule 7.1.2.Data security and redelivery(4) The electronic data required by subrule (1) must:(a)comply with any data security requirements as notified by ASIC to the Market Operatorunder Rule 7.1.2; andCopyright Australian Securities and Investments Commission. Reproduced with permission.
LexisNexis ASIC Market Integrity Rules (ASX Market) 2010(b)be redelivered by the Market Operator if there is disruption to the telecommunicationslink through which the data is provided or for any other reason ASIC does not receivethe data, and ASIC notifies the Market Operator in accordance with Rule 7.1.2 thatASIC requires the data to be redelivered.Delivery requirements(5) The electronic data required by subrule (1) must be delivered by the Market Operator toASIC or its nominated service provider in a manner and to a location notified by ASIC to theMarket Operator in accordance with Rule 7.1.2.Maximum penalty: $1,000,0007.1.2 NotificationA notification by ASIC to the Market Operator of:(a) a service provider under subrule 7.1.1(1);(b)additional data items under paragraph 7.1.1(2)(h);(c) data format requirements under subrule 7.1.1(3);(d)data security requirements or to redeliver data under subrule 7.1.1(4); or(e) a manner and, or, location of delivery under subrule 7.1.1(5),must be in writing and allow the Market Operator a reasonable period to comply.Part 7.2 Information7.2.1 Provision of information about Market ParticipantsThe Market Operator must maintain the information specified below about each MarketParticipant and advise ASIC in writing of any changes which are made to the information(including any changes resulting from the admission of new Market Participants) within 2Business Days of the change being made:(a)(b)(c)(d)Market Participant name;the unique identifier that is used by the Market Operator to identify the trading activitiesof the Market Participant on the Market Operator’s Trading Platform;Market Participant type, being:(i)(ii)Trading Participant;Market Maker; or(iii) Principal Trader; andthe type of permissions provided to each Market Participant, being permissions to trade:(i)(ii)Cash Market Products; orDerivatives Market Contracts.Maximum penalty: $100,000Copyright Australian Securities and Investments Commission. Reproduced with permission.
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ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

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