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ASIC Market Integrity Rules (Chip Australia Market) 2011 Volume 3 This compilation was prepared on 1 July 2013 taking into account amendments up to ASIC Market Integrity Rules (Chip Australia Market)

How to fill out asic market integrity rules

How to fill out ASIC market integrity rules:

1. Familiarize yourself with the ASIC market integrity rules document to understand its requirements and objectives.
2. Determine if your business or organization falls under the regulatory scope of ASIC and is subject to these rules. This can be based on factors such as operating in the financial services or securities industry.
3. Identify the specific sections or provisions within the ASIC market integrity rules that are relevant to your business operations or activities.
4. Review and assess your current policies, procedures, and practices to ensure compliance with the ASIC market integrity rules. Determine if any changes or updates are needed to align with the requirements.
5. Implement any necessary changes, ensuring that your policies and procedures reflect the requirements of the ASIC market integrity rules. This may involve updating internal systems, training employees, or seeking external expertise if required.
6. Keep track of any amendments or updates made by ASIC to the market integrity rules and ensure ongoing compliance with any new or revised requirements.

Who needs ASIC market integrity rules:

1. Financial services firms: Banks, credit unions, insurance companies, investment firms, and other entities operating in the financial sector may need to comply with the ASIC market integrity rules.
2. Securities industry participants: Brokers, stock exchanges, clearinghouses, and other entities involved in the trading and settlement of securities may be subject to the ASIC market integrity rules.
3. Companies involved in market activities: Businesses engaged in market activities like issuing securities, trading securities, or providing related services may require compliance with the ASIC market integrity rules.
4. Market participants and participants' employees: Individuals who directly or indirectly participate in market activities, such as traders, market makers, representatives, and employees, may have obligations under the ASIC market integrity rules.
5. Market intermediaries: Intermediaries involved in facilitating market transactions, such as market operators, data providers, and transaction reporting entities, may need to adhere to the ASIC market integrity rules.

It is important to note that the above list is not exhaustive, and the ASIC market integrity rules may apply to other individuals or entities depending on the nature of their involvement in the financial services or securities industry. It is recommended to consult with legal and compliance professionals to determine the specific applicability and requirements of ASIC market integrity rules for your situation.

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What is asic market integrity rules?

ASIC Market Integrity Rules are rules that aim to maintain fair, orderly, transparent and efficient financial markets.

Who is required to file asic market integrity rules?

Market participants such as trading venues, participants and their clients are required to comply with ASIC Market Integrity Rules.

How to fill out asic market integrity rules?

ASIC Market Integrity Rules can be filled out by visiting ASIC's website and following the guidelines provided.

What is the purpose of asic market integrity rules?

The purpose of ASIC Market Integrity Rules is to ensure the integrity and transparency of financial markets in Australia.

What information must be reported on asic market integrity rules?

Information regarding market participants, trading activities, compliance measures, and any breaches of the rules must be reported on ASIC Market Integrity Rules.