Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p2
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            Endnote 1—About the endnotes..................................154
            Endnote 2—Abbreviation key....................................155
            Endnote 3—Legislation history...................................156
            Endnote 4—Amendment history..................................157

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 (Capital) 2021.

1.1.4 Scope of these Rules
These Rules apply to:
(a)        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.

1.1.5 Entities that must comply with these Rules
Subject to Rule 1.1.5A, the following persons must comply with these Rules:
(a)        Market operators;
(b)       Market Participants; and
(c)        Other Regulated Entities,
as specified in each Rule.

1.1.5A Entities that must comply with these Rules—Transitional
(1) A person is not required to comply with these Rules before the earlier of the following days:
(a)        the day that is 12 months after the day on which the provisions of this instrument commence in accordance with Rule 1.1.3; and
(b)       the day (Opt-In Day) specified in a written notice (Opt-In Notice) given to ASIC by the person that states that the person wants these Rules to apply to the person from that day, provided the Opt-In Day occurs after the day the Opt-In Notice is given to ASIC.
(2) A person that gives an Opt-In Notice to ASIC in accordance with paragraph (1)(b) is not required to comply with the ASIC Market Integrity Rules (Securities Markets – Capital) 2017 or the ASIC Market Integrity Rules (Futures Markets – Capital) 2017 from the Opt-In Day.
(3) Subrule (2) has effect as a waiver from the ASIC Market Integrity Rules (Securities Markets – Capital) 2017 or the ASIC Market Integrity Rules (Futures Markets – Capital) 2017 under Rule 1.2.1 of the applicable Rules.

1.1.5B 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:
(a)        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