Regulatory Guide 224 - Guidance on ASIC market integrity rules for the Chi-X market CPD
This guide is for market participants of the Chi-X Australia Pty Ltd (Chi-X) market.
It gives guidance for how market participants can comply with their obligations under the ASIC market integrity rules for this market. The operation of the ASIC market integrity rules for the Chi-X market is subject to final approval of Chi-X’s Australian market licence application and the commencement of the Chi-X market.
ASIC is responsible for supervising domestic licensed financial markets in Australia. As part of their supervisory responsibilities, they make market integrity rules and monitor compliance by market participants with those rules.
This regulatory guide is intended for market participants of the market to be operated by Chi-X Australia Pty Ltd (Chi-X market). Market participants of the Chi-X market should read this regulatory guide in conjunction with Regulatory Guide 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets (RG 214) for ASIC’s commentary on broader topics, such as:
• Background information on the supervision of domestic licensed financial markets;
• ASIC’s approach in making market integrity rules; and
• ASIC’s approach to supervising compliance with those rules.
COURSE DELIVERY OPTIONS:
For the online delivery option, you will need to have access to a computer with an internet connection.
Your enrolment is valid for a period of twelve months.
1 online multi-choice assessment
CPD Hours - 1