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ASIC Market Integrity Rules (Securities Markets) 2017
In force
Administered by
Department of the Treasury
This item is authorised by the following title:
Corporations Act 2001
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F2023C00311 (C05)
10 March 2023
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Contents
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Chapter SEQ Chapter \* ARABIC 1 : Introduction
Part 1.1 Preliminary
Part 1.2 Waiver
Part 1.3 Notice, notification and service of documents
Part 1.4 Interpretation
Part 1.5 Participants of multiple Markets
Part 1.6 Transitional
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Chapter SEQ Chapter \* ARABIC 2 : Market Participants and Representatives
Part 2.1 Management requirements
Part 2.2 Insurance and information requirements
Part 2.3 Supervisory staff
Part 2.5 Designated Trading Representatives (DTRs)
Part 2.6 Foreign Participants
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Chapter SEQ Chapter \* ARABIC 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 3.4A Multiple Markets—Single trade confirmations
Part 3.5 Client Money and Property
Part 3.6 Prohibition of advice to Client
Part 3.7 Dealing in Cash Market Products
Part 3.8 Best execution obligation
Part 3.9 Policies and procedures
Part 3.10 Disclosure to clients of best execution obligation
Part 3.11 Evidencing execution performance
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Chapter SEQ Chapter \* ARABIC 4 : Records
Part 4.1 Trading records
Part 4.2 Records—General
Part 4.3 Access to records
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Chapter SEQ Chapter \* ARABIC 5 : Trading
Part 5.1AA Transactions to be under the operating rules of a Market operator
Part 5.1 Client order priority
Part 5.4 Transactions by connected persons (including persons connected with other Market Participants)
Part 5.4A Managing confidential Order information
Part 5.4B Order incentives
Part 5.5 Participant’s trading infrastructure
Part 5.6 Automated Order Processing—Filters, conduct, and infrastructure
Part 5.7 Manipulative trading
Part 5.9 Fair and orderly markets
Part 5.9A Trading Suspensions
Part 5.10 Dealing in Cash Market Products
Part 5.11 Suspicious activity reporting
Part 5.12 Market Bid—Announcements by Market Participant
Part 5.13 Acquisition of Cash Market Products during the Bid Period
Part 5.14 Market Participant acting for Bidder or Issuer
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Chapter 5A: Crossing Systems
Part 5A.1 Reporting requirements for Crossing Systems
Part 5A.2 Disclosure requirements for Crossing Systems
Part 5A.3 Fair treatment, fairness and priority in dealing and opting out by users of Crossing Systems
Part 5A.4 Crossing Systems—Monitoring and suspicious activity reporting
Part 5A.5 Crossing System Tick Sizes and system controls
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Chapter SEQ Chapter \* ARABIC 6 : Pre- and Post-Trade Transparency
Part 6.1 Orders must be Pre-Trade Transparent
Part 6.2 Pre-Trade Information—Exceptions
Part 6.3 Transactions must be post-trade transparent
Part 6.4 Delayed reporting
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Chapter SEQ Chapter \* ARABIC 7 : Regulatory Data and data feeds
Part 7.1 Data feeds
Part 7.2 Information
Part 7.3 Material changes to operating rule procedures
Part 7.4 Requirement to record and provide Regulatory Data
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Chapter SEQ Chapter \* ARABIC 8 : Extreme price movements
Part 8.1AA Application
Part 8.1 Order entry controls for Anomalous Orders
Part 8.2 Extreme Trade Range
Part 8.3 Transparent cancellation policies
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Chapter 8A: Market operators—Critical Business Services, Information Security and Business Continuity Plans
Part 8A.1 Application and Definitions
Part 8A.2 Trading controls
Part 8A.3 Critical Business Services
Part 8A.4 Information security
Part 8A.5 Business Continuity Plans
Part 8A.6 Governance
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Chapter 8B: Market Participants—Critical Business Services, Information Security and Business Continuity Plans
Part 8B.1 Application and Definitions
Part 8B.2 Critical Business Services
Part 8B.3 Information security
Part 8B.4 Business Continuity Plans
Part 8B.5 Governance
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Chapter SEQ Chapter \* ARABIC 9 : Market operators—Other obligations
Part 9.1 Trading Suspensions
Part 9.2 Information Sharing
Part 9.3 Synchronised clocks
Part 9.4 Tick Sizes
Part 9.5 Record keeping
Part 9.6 Supervision and risk management
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Endnotes
Endnote 1 – Instrument history
Endnote 2 – Amendment history