Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p22
Version: federal_register_of_legislation:F2024C01107
Segment Type: other
Provision Reference: 
Character Range: 58443–61431

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) is not included.
Trading Day means a day on which a relevant exchange traded or over-the-counter market has been open for trading.
Trading Messages means those messages submitted into a Trading Platform relating to trading functions, such as orders, amendment or cancellation of orders and the reporting or cancellation of Market transactions on the Trading Platform.
Trading Participant means a Market Participant which has Trading Permission in respect of one or more financial products.
Trading Permission means the right to submit Trading Messages in a Trading Platform.
Trading Platform means a facility made available by a Market operator to Market Participants of the relevant Market for the entry of Trading Messages, the matching of Orders, the advertisement of invitations to trade and the reporting of transactions.
Trading Status means authorisation by a Market operator or a CGS Market operator for a financial product to be traded on the relevant Market or CGS Market.

Underlying Instrument means:

(a)        in relation to Option Series and Futures Series, the instrument which underlies that Option Series or Futures Series;

(b)       in relation to Warrants means the financial product, index, foreign or Australian currency or Commodity which underlies that Warrant; and

(c)        in relation to AQUA Products and other financial products, means the financial product, index, foreign or Australian currency, Commodity or other point of reference for determining the value of the relevant product.

Underwriting Commitment means a commitment to take up Financial Instruments where others do not acquire or retain them under an underwriting agreement or other similar agreement calculated using:

(a)        the price stated in the 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.

Underwriting and Sub Underwriting Risk Requirement is the absolute sum of the risk amounts calculated in accordance with Annexure 4 to Schedule 1A.

Warrant has the meaning given by regulation 1.0.02 of the Corporations Regulations 2001.

Warrant-Issuer means an entity approved by a Market operator to issue Warrants.

Part 1.5 Participants of multiple Markets

1.5.1 Participants may rely on notifications

Where these Rules require a Market Participant to give to ASIC any document (however described) in relation to the Market Participant for a Market, the Market Participant may give to ASIC the same document in relation to more than one Market, provided that:

(a)        the Market Participant has notified ASIC in writing that it intends to comply with these Rules