Document ID: chunk:federal_register_of_legislation:F2024C01108:front:0:p75
Version: federal_register_of_legislation:F2024C01108
Segment Type: other
Provision Reference: 
Character Range: 199668–202550

the Trading Participant's compliance with Part 5.6 of these Rules.
     (2) A Trading Participant must, for the purposes of providing the AOP Annual Notification in relation to an Automated Order Processing system for a Market, obtain written representations from the person who performed the AOP Annual Review in relation to that Automated Order Processing system, that nothing came to the attention of the person during the course of the AOP Annual Review that would indicate that the Trading Participant is unable to comply with Part 5.6 of these Rules, for the relevant Market.
(3) The representations referred to in subrule (2) must:
 1.         include the name of the person making the representation; and
(b)       be signed and dated by the person making the representation.

5.6.8B AOP Annual Notification
     (1) A Trading Participant must, within 10 Business Days of each AOP Annual Review Date for a Market, give a written notice (AOP Annual Notification) to ASIC that includes, for the relevant Market:
 1.         the name of the Trading Participant; and
(b)       the version number and name of the Trading Participant's Automated Order Processing system; and
(c)        a confirmation by the Trading Participant that nothing came to the attention of the Trading Participant during the 12 months before the AOP Annual Review Date that would indicate that the Trading Participant is unable to comply with Part 5.6 of these Rules; and
(d)       the name of the directors of the Trading Participant referred to in subrule (2).
     (2) At least two directors of the Trading Participant must sign and date the AOP Annual Notification.

5.6.11 Further certification
(1) A Trading Participant must, if directed by ASIC in writing to do so, provide a further certification for a Market in a form acceptable to ASIC from an appropriately qualified person acceptable to ASIC as to compliance by the Trading Participant with the Automated Order Processing Requirements for the relevant Market.
(2) A Trading Participant must comply with a direction under subrule (1) within the time specified in the direction.

5.6.12 Limitations on Automated Order Processing
(1) This Rule applies where ASIC reasonably considers that:
 1.         a Trading Participant is not complying with the Automated Order Processing Requirements in relation to one or more Markets; or
(b)       it is otherwise appropriate to direct a Trading Participant to take the actions referred to in subrule (2).
(2) A Trading Participant must, if directed to do so by ASIC:
 1.         cease conducting Automated Order Processing in relation to one or more Markets until ASIC is satisfied that the Trading Participant complies with the Automated Order Processing Requirements for the relevant Market; or
(b)       immediately suspend, limit or prohibit the conduct of Automated Order Processing in respect of: