ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
Chapter 3: Client relationships, client money and best execution – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)

ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) 3.2: Disclose principal trading and obtain client consent before dealing as principal

Before entering a market transaction as principal with a client, the participant must have disclosed that it acts or may act as principal and obtained the client's consent (as s 991E of the Corporations Act requires), show the disclosure on the confirmation and keep the register of persons treated as principal.

Maintained by Gerard Blokdyk

Other controls in Chapter 3: Client relationships, client money and best execution – 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.