ASIC Market Integrity Rules (Securities Markets) Determination 2018/314

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ASIC Market Integrity Rules (Securities Markets) Determination 2018/314

I, Anthony Graham, delegate of the Australian Securities and Investments Commission, make the following legislative instrument.

 

Date 1 May 2018

 

 

 

 

Anthony Graham

 

Contents

Part 1—Preliminary

1 Name of legislative instrument

2 Commencement

3 Authority

4 Interpretation

Part 2—Determination

5 Market identifier codes

6 Crossing System codes

7 Capacity of Participant

8 Directed wholesale indicator

Schedule 1—Crossing System codes

 

Part 1—Preliminary

1 Name of legislative instrument

This is the ASIC Market Integrity Rules (Securities Markets) Determination 2018/314.

2 Commencement

This instrument commences on the day after it is registered on the Federal Register of Legislation.

Note: The register may be accessed at www.legislation.gov.au.

3 Authority

This instrument is made under subrules 3.4.3(4), 5A.2.1(5), 6.3.6A(4) and 7.4.4(3) of the ASIC Market Integrity Rules (Securities Markets) 2017 (Rules). 

4 Interpretation

(1) In this instrument, unless the contrary intention appears, capitalised terms have the same meaning as in the Rules.

(2) In this instrument, ASX Centre Point means the Order Book maintained by or on behalf of ASX and known as ASX Centre Point.

Part 2—Determination

5 Market identifier codes

For the purposes of subrules 3.4.3(4), 6.3.6A(4) and 7.4.4(3) (as that subrule relates to item 1 (Execution venue) of the table in Rule 7.4.4) of the Rules:

(a) the code for identifying ASX TradeMatch is ASXT; and

(b) the code for identifying ASX Centre Point is ASXC; and

(c) the code for identifying the Chi-X Market is CHIA.

6 Crossing System codes

 For the purposes of subrules 3.4.3(4), 5A.2.1(5), 6.3.6A(4) and 7.4.4(3) (as that subrule relates to item 1 (Execution venue) of the table in Rule 7.4.4) of the Rules, the code for identifying a Crossing System described in columns 2 and 3 of the table in Schedule 1 is the code specified in column 4 of the table.

Note:  The execution venue for a Crossing is the Crossing System on which the Crossing is matched or executed.

7 Capacity of Participant

 For the purposes of subrule 7.4.4(3) of the Rules, the notation referred to in item 2 (Capacity of Participant) of the table in Rule 7.4.4 for identifying that in relation to an order or transaction the Participant is acting:

(a) as Principal—is “P”; and

(b) as agent for a client—is “A”; and

(c) as both Principal and agent for a client—is “M”.

8 Directed wholesale indicator

 For the purposes of subrule 7.4.4(3) of the Rules, the notation referred to in item 5 (Directed wholesale indicator) of the table in Rule 7.4.4 for indicating in relation to an order or transaction that:

(a) paragraphs (a) and (b) of item 5 are both satisfied— is “Y”; and

(b) paragraphs (a) and (b) of item 5 are not both satisfied—is “N”.

 

Schedule 1—Crossing System codes

Crossing System codes