Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p74
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 196890–199935

the case may be; and
(B)       meets the requirements of Rule 5.6.3; and
(iii)     the representations required by Rule 5.6.5 have been made by persons whom the Trading Participant considers to be suitably qualified and experienced in relation to the organisational and technical resources, arrangements and controls for which they are making those representations;
(e)        the name of the directors of the Trading Participant referred to in subrule (3).
(3) At least two directors of the Trading Participant must sign and date the written certification referred to in subrule (2).

5.6.8 AOP Material Change Review
(1) Before making a material change to any of the organisational or technical resources, arrangements or controls employed to comply with Rule 5.6.3 for a Market, a Trading Participant must ensure that an appropriately qualified person performs a review (AOP Material Change Review) of the material changes to the Automated Order Processing system, the Trading Participant's policies, procedures, system design documentation, including the Trading Participant's procedures for implementation of subsequent changes to the Automated Order Processing software, filters and filter parameters and other relevant documentation concerning the Trading Participant's compliance with Part 5.6 of these Rules for the relevant Market.
(2) Before implementing a material change the subject of an AOP Material Change Review a Trading Participant must, for the purposes of providing the AOP Annual Notification, obtain written representations from the person who performed the AOP Material Change Review that nothing came to the attention of the person during the course of the AOP Material Change Review that would indicate that the Trading Participant is unable to comply with Part 5.6 of these Rules.
(3) The representations referred to in subrule (2) must:
 1.         include the name of the person making the representation; and
(b)       be signed and dated by the person making the representation.

5.6.8A AOP Annual Review
     (1) Where a Trading Participant has not performed an AOP Material Change Review in relation to an Automated Order Processing system for a Market in the 12 months before the AOP Annual Review Date, the Trading Participant must, for the purposes of providing the AOP Annual Notification in relation to the Automated Order Processing system, ensure that an appropriately qualified person performs a review (AOP Annual Review) of the Automated Order Processing system, the Trading Participant's policies, procedures, system design documentation, including the Trading Participant's procedures for implementation of changes to the Automated Order Processing software, filters and filter parameters and other relevant documentation concerning the Trading Participant's compliance with Part 5.6 of these Rules.
     (2) A Trading Participant must, for the purposes of providing the AOP Annual Notification in relation to an Automated Order Processing system for a Market, obtain written representations from the