You will be required to comply with these Rules if you are a market operator, market participant or other entity or person engaged in financial products traded on the relevant markets.
A Market Operator is a person or company licensed to operate one or more financial markets in Australia. A Participant refers to a person who is allowed to directly participate in a financial clearing and settlement facility or a financial market.
These Rules provide the framework for supporting competition between exchange markets in Australia. The set of Rules cover areas such as:
- Client relationships;
- Record keeping;
- Market Operator and Participant obligations; and
- Policies and Procedures.
Please consult the Contact Officer for more information.
Code of Practice
A code of practice can be either a legal requirement or non-legal requirement. Legal codes of practice are defined as a result of legislation. Non-legal codes of practice are defined by industry regulators and bodies.
Australian Securities and Investments Commission
Corporations Act 2001 (Australian Government)
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To the full extent permitted by law, the Federal, State, Territory and Local Governments
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