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ASIC Market Integrity Rules (SIM VSE 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No longer in force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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F2010L02210
01 August 2010
-
01 May 2015
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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 Participants
Part 2.1 Good Character
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Chapter 3: Financial records and arrangements
Part 3.1 Trust account
Part 3.2 Record Keeping—Trust account schedule
Part 3.3 Underwriting register
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Chapter 4: Trading requirements
Part 4.1 Market Participant acting As Principal
Part 4.2 Prohibition on advice to Client
Part 4.3 Expenses
Part 4.4 Nominee shareholdings
Part 4.5 Underwriting
Part 4.6 Contract notes
Part 4.7 Discretionary accounts
Part 4.8 Discretionary account reporting
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Chapter 5: Market Participant business
Part 5.1 Carrying on business
Part 5.2 Approved Representatives
Part 5.3 Insurance
Part 5.4 Complaints
Part 5.5 Authorised Trading Representatives
Part 5.6 Trading Responsibilities
Part 5.7 Orderly Market