Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p21
Version: federal_register_of_legislation:F2024C01107
Segment Type: other
Provision Reference: 
Character Range: 55761–58749

result of a third party clearing arrangement entered in to with a Clearing Participant that is a Related/Associated Person of the Market Participant.

Risk-Based Capital Requirements means the requirements set out in Schedule 1A.
Risk-Based Return Declaration means a declaration containing the information in Form 2 in Schedule 1C to these Rules.
Rules means these market integrity rules.
Security or security means:
(a)        a security within the meaning of section 761A of the Corporations Act; or
(b)       a managed investment product.
Securities Lending and Borrowing means any transaction undertaken by a Market Participant under an Equity or Debt Instrument lending or borrowing agreement, a repurchase or reverse repurchase agreement or an agreement for the sale and buyback of Equity or Debt Instruments.
Securities Market means any of the following Markets:
(a)        ASX Market;
(b)       Chi-X Market;
(c)        NSXA Market; and
(d)       SSX Market.
SSX means Sydney Stock Exchange Limited (ACN 080 399 220).
SSX Market means the market operated by SSX under Australian Market Licence (Sydney Stock Exchange Limited) 2004.
Structured Product means a Security or derivative:
(a)        which gives the holder financial exposure to the performance of one or more Underlying Instruments;
(b)       the value of which is linked to the performance of those Underlying Instruments; and
(c)        whereby investors do not have day to day control over the operation of the entity which issues or provides the Security or derivative.
Substantial holder means a person who has or would have a substantial holding if Part 6C of the Corporations Act applied to that corporation.
Sub Underwriting Commitment means a commitment to take up Financial Instruments where others do not acquire or retain them under a sub underwriting agreement or other similar agreement calculated using:
(a)        the price stated in the sub underwriting or similar agreement; or
(b)       in the case of a new float where the price is not known, the indicative price, until the price is known.
Sub Underwriter means a person who has made a Sub Underwriting Commitment.
Summary Risk-Based Return means a return containing the information in Form 3 in Schedule 1C to these Rules.
Swap means a transaction in which two counterparties agree to exchange streams of payments over time on a predetermined basis.
Terms of Issue means, in relation to Warrants, rights, conditions and obligations of the Warrant-Issuer and the holder of the Warrant.

Total Risk Requirement means the sum of:
(a)        Operational Risk Requirement;
(b)       Counterparty Risk Requirement;
(c)        Large Exposure Risk Requirement;
(d)       Position Risk Requirement;
(e)        Underwriting and Sub Underwriting Risk Requirement; and
(f)        Non-Standard Risk Requirement,

however where an asset or liability is an Excluded Asset or Excluded Liability a risk requirement otherwise applicable under paragraphs (a) to (e)