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ASIC Market Integrity Rules (NSXA Market) 2010
No longer in force
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Administered by
Department of the Treasury
This item is authorised by the following title:
Corporations Act 2001
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F2015C00487
02 May 2015
-
08 January 2019
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Chapter 1: Introduction
Part 1.1 Preliminary
Part 1.2 Waivers
Part 1.3 Notice, notification and service of documents
Part 1.4 Interpretation
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Chapter 2: The Market Participant
Part 2.1 Market Participant restrictions
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Chapter 3: Market Participant business
Part 3.1 Responsible Officers
Part 3.2 Processes
Part 3.3 Good character
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Chapter 4: Regulation of Market Participant activities
Part 4.1 Australian Financial Services Licence
Part 4.2 Common ownership of Market Participants
Part 4.3 Insurance
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Part 4.4 Market Participant responsibility
Part 4.5 Disclosure required when acting As Principal
Part 4.6 Allocation
Part 4.7 Prohibition of advice to Client
Part 4.8 Expenses
Part 4.9 Beneficial ownership
Part 4.10 Disclosure of shortfall
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Chapter 5: Discretionary accounts and managed funds
Part 5.1 Authorisation
Part 5.2 Excessive Transactions
Part 5.3 Discretionary account reports
Part 5.4 Discretionary account register
Part 5.5 Confirmations
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Chapter 6: Trading principles
Part 6.1 Preference of Orders
Part 6.2 Corners
Part 6.3 Takeovers
Part 6.4 Trading Obligations of Market Participants
Part 6.5 Orderly market
Part 6.6 Prevention of manipulative trading
Part 6.7 Records and identification of Order source
Part 6.8 Designated Trading Representatives
Part 6.9 Securities of listed entities for which Official Quotation sought
Part 6.10 Dealings in Securities for which Official Quotation is not sought
Part 6.11 Dealings in Securities suspended from Official Quotation
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Chapter 7: Financial requirements and record keeping
Part 7.1 Trust account
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Chapter 8: Miscellaneous rules
Part 8.1 Legal proceedings
Notes to ASIC Market Integrity Rules (NSXA Market) 2010