Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p80
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 212583–215279

Dealings in Securities for which Official Quotation will not be sought
A Trading Participant may deal in new Securities issued by a listed entity of a Market for which Official Quotation or permission to be traded on that Market will not be sought, 24 hours after that entity has advised that Market of the details of the issue.

5.10.4 Dealings in Cash Market Products suspended from Official Quotation

A Trading Participant of a Market must not deal in Cash Market Products which have been suspended from quotation or trading on a Market unless the Cash Market Product is an Equity Market Product that is quoted on one or more other Markets and is not in a Trading Suspension on one or more of those other Markets.

Part 5.11 Suspicious activity reporting

5.11.1 Notification requirement

(1) Subject to subrule (2), if a Market Participant has reasonable grounds to suspect that:
 1.         a person (the Insider) has placed an order into or entered into a transaction on a Market in relation to a financial product while in possession of inside information (within the meaning of section 1042A of the Corporations Act), whether or not the Market Participant is aware of:
        1.          the identity of the Insider; or
(ii)       all of the details of the order or transaction; or
(b)       a transaction or an order transmitted to a Trading Platform of a Market has or is likely to have the effect of:
 1.          creating an artificial price for trading in financial products on a Market;
(ii)       maintaining at a level that is artificial (whether or not it was previously artificial) a price for trading in financial products on a Market;
(iii)     creating, or causing the creation of, a false or misleading appearance of active trading in financial products on a Market; or
(iv)      creating, or causing the creation of, a false or misleading appearance with respect to the market for, or the price for trading in, financial products on a Market,

whether or not the Market Participant is aware of:
 1.        the intention of any party to the transaction or order; or
(vi)      all of the details of the transaction or order,

the Market Participant must, as soon as practicable, notify ASIC in writing of the details of the transaction or order (to the extent known to the Market Participant) and the reasons it suspects the matter set out in paragraphs (a) and, or, (b).

(2) A Market Participant is not required to notify ASIC under subrule (1) if the Market Participant has reported the information that would otherwise be required to be contained in the notification to ASIC under subrule (1) to the Australian Transaction Reports and Analysis Centre under section 41