ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
Chapter 2: Management, supervision and representatives – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)

ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) 2.1.1-2.1.3: Maintain management structures, supervisory staff and supervisory procedures that secure compliance

A participant must have management structures that ensure its operations and processes are reasonably designed and implemented to comply with these rules and the market operating rules, supervised by people with appropriate skills and enough seniority and authority; must keep accurate records of the structure and the allocation of supervisory responsibilities; must give ASIC its management structure within 10 business days of becoming a participant; and must have supervisory policies and procedures covering everyone involved in its business.

Maintained by Gerard Blokdyk

Other controls in Chapter 2: Management, supervision and representatives – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)

Query this from an agent

The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.