Corporations Regulations 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.2
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LICENSING OF FINANCIAL MARKETS
Division 2
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The market's operating rules and procedures
REGULATION 7.2.08
7.2.08
CONTENT OF LICENSED MARKET'S WRITTEN PROCEDURES
For subsection 793A(2) of the Act, the following matters are matters in respect of which a licensed market must have written procedures to the extent that the market integrity rules do not deal with a matter:
(a) exchange of appropriate information with:
(b) arrangements to ensure the integrity and security of systems (including computer systems);
(c) arrangements for the monitoring of compliance by participants and listed entities with the operating rules of the licensed market;
(d) the assessment, investigation (if justified) and settlement of market-related disputes between participants;
(e) (Omitted)
(f) the recording and effective disclosure of transactions;
(g) the provision of information about market processes.
View history note
Hide history note[ CCH Note: Pursuant to the Corporations Amendment Regulations 2001 (No 4) (SR 2001 No 319) effective 11 March 2002, Chapter 7 (Securities) comprising reg 7.1.01 - 7.15.01 and Chapter 8 (The futures industry) comprising reg 8.1.01 - 8.7.03 are replaced by a new Chapter 7 (Financial services and markets) comprising reg 7.1.01 - 7.12.01. As the subject matter of the new Chapter 7 relates to the new financial services reform regime, " inserted " has been used in the history notes for each provision, and all references to the former provisions have been removed.]
For subsection 793A(2) of the Act, the following matters are matters in respect of which a licensed market must have written procedures to the extent that the market integrity rules do not deal with a matter:
(a) exchange of appropriate information with:
(i) clearing and settlement facilities; and
(ii) other financial markets; and
(iii) ASIC;
(b) arrangements to ensure the integrity and security of systems (including computer systems);
(c) arrangements for the monitoring of compliance by participants and listed entities with the operating rules of the licensed market;
(d) the assessment, investigation (if justified) and settlement of market-related disputes between participants;
(e) (Omitted)
(f) the recording and effective disclosure of transactions;
(g) the provision of information about market processes.
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