Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p2
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 6312–10431

controls......................................141
            Part 8A.3.Critical Business Services...............................141
            Part 8A.4.Information security...................................145
            Part 8A.5.Business Continuity Plans..............................145
            Part 8A.6.Governance.........................................148
            Chapter 8B: Market Participants—Critical Business Services, Information Security and Business Continuity Plans              149
            Part 8B.1.Application and Definitions..............................149
            Part 8B.2.Critical Business Services...............................150
            Part 8B.3.Information security...................................153
            Part 8B.4.Business Continuity Plans..............................154
            Part 8B.5.Governance.........................................156
            Chapter 9: Market operators—Other obligations....................157
            Part 9.1..Trading Suspensions..................................157
            Part 9.2..Information Sharing...................................158
            Part 9.3..Synchronised clocks...................................160
            Part 9.4..Tick Sizes .............................................161
            Part 9.5..Record keeping......................................162
            Part 9.6..Supervision and risk management.........................163
            Endnotes .............................................................165
            Endnote 1—About the endnotes..................................165
            Endnote 2—Abbreviation key....................................166
            Endnote 3—Legislation history...................................167
            Endnote 4—Amendment history..................................169

Chapter 1: Introduction

Part 1.1 Preliminary

1.1.1 Enabling legislation
ASIC makes this instrument under subsection 798G(1) of the Corporations Act.

1.1.2 Title
This instrument is ASIC Market Integrity Rules (Securities Markets) 2017.

1.1.4 Scope of these Rules
These Rules apply to:
 1.         the activities or conduct of the Markets;
(b)       the activities or conduct of persons in relation to the Markets; and
(c)        the activities or conduct of persons in relation to financial products traded on the Markets,
as specified in each Chapter, Part or Rule.

1.1.4A Transitional
(1) A person other than an NSXA AOP Participant does not have to comply with any provision of this instrument until 7 May 2018.
(2) An NSXA AOP Participant does not have to comply with any provision of this instrument other than, in connection with use of its system for Automated Order Processing on the NSXA Market, the provisions of Parts 5.5, 5.6 and 5.7, until 7 May 2018.

1.1.5 Entities that must comply with these Rules
The following entities must comply with these Rules:
 1.         Market operators;
 2.        Market Participants;
 3.         CGS Market operators;
 4.        CGS Market Participants; and
(e)        Other Regulated Entities;
as specified in each Rule.

1.1.5A    Penalties for a contravention of these Rules
The maximum pecuniary penalty payable for a contravention of a provision of these Rules is an amount determined by the Court under section 1317G of the Corporations Act.

1.1.6 Conduct by officers, Employees or agents
In these Rules, conduct engaged in on behalf of a person:
 1.         by an officer, Employee, or other agent of the person, and whether or not within the scope of the actual or apparent authority of the officer, Employee, or other agent; or
(b)       by any other person at the direction or with the consent or agreement (whether express or implied) of an officer, Employee, or other agent of the person, and whether or not the giving of the direction, consent or agreement is within the scope of the actual or apparent authority of the officer, Employee, or other agent,
is deemed to have been engaged in by the person.

1.1.7 State of mind of a person
(1) If for the purposes of these Rules