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Market integrity rules



The Corporations Amendment (Financial Market Supervision) Act 2010 provides for a new type of rule called market integrity rules. These rules are made by ASIC and apply to market operators, market participants, other prescribed entities and financial products traded on the relevant markets. Market integrity rules are legislative instruments. ASIC requires Ministerial consent before making any rules and any rules are subject to Parliamentary disallowance.

ASIC is responsible for supervising compliance with these rules.

Market integrity rules for the ASX, ASX 24, APX, IMB, NSXA and SIM VSE markets were released on 1 August 2010. Market integrity rules for the Chi-X market and for competition in exchange markets were released on 29 April 2011 – read the advisory.


Market integrity rules and guidance:

Competition in exchange markets

ASX | ASX 24 | Chi-X | APX | IMB | NSXA | SIM VSE | FEX

We are publishing monthly Regulatory document update tables, from August 2013, of updates to our regulatory documents, including updates not notified in media releases.



Competition in exchange markets




Market integrity rules

ASIC Market Integrity Rules (Competition in Exchange Markets) 2011

Guidance

Regulatory Guide 223 Guidance on ASIC market integrity rules for competition in exchange markets

Waivers

Waivers - competition in exchange markets

Consultation

Consultation paper and draft rules - retail trading in Commonwealth Government Securities

Consultation documents - equity market structure

Review of market structure - consultation process and timetable

Dark liquidity and high-frequency trading: Proposals




ASX




Market integrity rules

ASIC Market Integrity Rules (ASX Market) 2010


Comparison of ASX Market Rules and ASIC Market Integrity Rules (ASX Market) 2010

Guidance

Regulatory Guide 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets
Regulatory Guide 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets
Regulatory Guide 238 Suspicious activity reporting
Information Sheet 158 Short sale tagging

Waivers

Waivers - ASX market

Consultation

Consultation paper and draft rules - Automated trading
Consultation documents - ASX, ASX 24 and Chi-X markets
Consultation documents - Non-AFS licensee foreign participants
Dark liquidity and high-frequency trading: Proposals





ASX 24*



Market integrity rules

ASIC Market Integrity Rules (ASX 24 Market) 2010
Comparison of SFE Operating Rules and ASIC Market Integrity Rules (ASX 24 Market) 2010

Guidance

Regulatory Guide 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets
Regulatory Guide 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets
Regulatory Guide 250 Guidance on ASIC market integrity rules for risk management and other requirements: ASX 24 market

Waivers

Waivers - ASX 24 market

Consultation

Consultation documents - ASX, ASX 24 and Chi-X markets
Consultation Paper 195: Proposed amendments to ASIC market integrity rules: ASX 24 and FEX Markets
Dark liquidity and high-frequency trading: Proposals





Chi-X




Market integrity rules

ASIC Market Integrity Rules (Chi-X Australia Market) 2011

Guidance

Regulatory Guide 224 Guidance on ASIC market integrity rules for Chi-X and APX markets
Regulatory Guide 238 Suspicious activity reporting
Information Sheet 158 Short sale tagging

Waivers

Waivers - Chi-X market

Consultation

Consultation paper and draft rules - Automated trading
Consultation documents - ASX, ASX 24 and Chi-X markets
Consultation documents - Non-AFS licensee foreign participants
Dark liquidity and high-frequency trading: Proposals




APX




Market integrity rules

ASIC Market Integrity Rules (APX Market) 2013
ASIC Market Integrity Rules (APX Market) 2010 (revoked on 3 August 2013)

Guidance

Regulatory Guide 224 Guidance on ASIC market integrity rules for Chi-X and APX markets
Regulatory Guide 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets
Regulatory Guide 238 Suspicious activity reporting




IMB




Market integrity rules

ASIC Market Integrity Rules (IMB Market) 2010

Comparison of IMB Operating Rules and ASIC Market Integrity Rules (IMB Market) 2010

Guidance

Regulatory Guide 215 Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets





NSXA




Market integrity rules

ASIC Market Integrity Rules (NSXA Market) 2010

Comparison of NSXA Business Rules and ASIC Market Integrity Rules (NSXA Market) 2010

Guidance

Regulatory Guide 215 Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets




SIM VSE**



Market integrity rules

ASIC Market Integrity Rules (SIM VSE Market) 2010

Comparison of SIM VSE Business Rules and ASIC Market Integrity Rules (SIM VSE Market) 2010

Guidance

Regulatory Guide 215 Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets




FEX




Market integrity rules

ASIC Market Integrity Rules (FEX Market) 2013

Consultation paper

Consultation Paper 157 Proposed ASIC market integrity rules: FEX market

Consultation Paper 195: Proposed amendments to ASIC market integrity rules: ASX 24 and FEX Markets




Notes
*Formerly known as Sydney Futures Exchange
** Formerly known as Bendigo Stock Exchange



















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