CP 277 Proposals to consolidate the ASIC market integrity rules

Released 24 January 2017. Comments close 7 March 2017

This consultation paper seeks feedback from market operators and participants on our proposals to consolidate the ASIC market integrity rules and clarify existing obligations for:

• Ÿ   management requirements and responsible executives
• Ÿ   dealing 'as principal'
• Ÿ   block trades and large portfolio trades
• Ÿ   derivatives market contracts and wholesale client disclosure, and
• Ÿ   record keeping by market licensees.

Download

• Consultation Paper 277 (PDF 182KB)

• Attachment 1 - Draft ASIC Market Integrity Rules (Securities Markets) 2017 (PDF 435 KB)

• Attachment 2 - Draft ASIC Market Integrity Rules (Futures Markets) 2017 (PDF 230 KB)

• Attachment 3 - Draft ASIC Market Integrity Rules (Securities Markets – Capital) 2017 (PDF 2.7 MB)

• Attachment 4 - Draft ASIC Market Integrity Rules (Futures Markets – Capital) 2017 (PDF 464 KB)