You will need to comply with these rules if you are a market operator, market participant or other regulated entity engaged in financial products traded on the markets.
A market operator is a person or company licensed to operate one or more financial markets in Australia. A participant is a person who is permitted 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 and covers areas such as:
- client relationships
- record keeping
- market operator and participant obligations
- policies and procedures.