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Finance Broking Australia-regulatory guide 241 electronic trading

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Regulatory Guide 241 - Electronic trading CPD

This guide is for market participants of the markets operated by ASX Limited (ASX) and Chi-X Australia Pty Ltd (Chi-X) that use or intend to use their systems for automated order processing (AOP).

It gives guidance on how ASX and Chi-X market participants can comply with their obligations under ASIC market integrity rules that apply to the use of AOP.

Note: This guidance applies from May 2014. It reflects the ASIC market integrity rules as amended by the ASIC Market Integrity Rules (ASX Market) Amendment 2012 (No. 3) and ASIC Market Integrity Rules (Chi-X Australia Market) Amendment 2012 (No. 3), which commence in May 2014.

RG 241 contains guidance on how a market participant can comply with the automated order processing (AOP) obligations in the ASIC Market Integrity Rules (ASX Market) 2010 and the ASIC Market Integrity Rules (Chi-X Australia Market) 2011. It contains new guidance and where appropriate incorporates aspects of ASX Guidance Notes 19, 21 and 22. Those ASX guidance notes are superseded by this regulatory guide.

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