About this compilationAbout this compilation

About this compilation

Compilation No. 14

This is a compilation of ASIC Market Integrity Rules (ASX Market) 2010 as in force on 27 October 2015. It includes any commenced amendment affecting the legislative instrument to that date.

This compilation was prepared by the Australian Securities and Investments Commission.

The notes at the end of this compilation (the endnotes) include information about amending instruments and the amendment history of each amended provision.

Contents

Chapter 1: Introduction

Part 1.1 Preliminary

Part 1.2 Waiver

Part 1.3 Notice, notification and service of documents

Part 1.4 Interpretation

Chapter 2: Participants and Representatives

Part 2.1 Management requirements

Part 2.2 Insurance and information requirements

Part 2.3 Responsible Executives

Part 2.4 Retail Client Adviser Accreditation

Part 2.5 Designated Trading Representatives (DTRs)

Part 2.6 Foreign Participants

Chapter 3: Client relationships

Part 3.1 Clients trading in products for first time

Part 3.2 Trading as Principal

Part 3.3 Client instructions

Part 3.4 Reporting to Clients

Part 3.5 Client Money and Property

Part 3.6 Prohibition of advice to Client

Chapter 4: Records

Part 4.1 Trading records

Part 4.2 Records—General

Part 4.3 Access to records

Chapter 5: Trading

Part 5.1 Client order priority

Part 5.3 Large Order facilitation

Part 5.4 Transactions by connected persons (including persons connected with other Market Participants)