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) 2.1.5-2.1.6: Prevent unprofessional conduct and accept responsibility for employees' acts

A participant must not engage in unprofessional conduct and must ensure its supervisory staff do not; it is responsible for all actions and omissions of its employees.

Maintained by Gerard Blokdyk

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

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