ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
ASIC's binding conduct rules for participants in Australian securities markets: supervision and fit and proper staff, client agreements, confirmations and client money, best execution, trading records, order handling, automated trading controls, manipulation and suspicious activity reporting, transparency, regulatory data and operational resilience.
ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) is a compliance framework from Australia (Commonwealth) with 6 domains and 32 controls. The largest domains are Chapter 5 and 5A: Trading conduct, systems and crossing systems – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) (9 controls), Chapter 3: Client relationships, client money and best execution – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) (8 controls), Chapter 8B: Critical business services, information security and business continuity – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) (6 controls). Every control below carries what it requires and what an assessor expects to see.
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Framework Domains (6)
Chapter 2: Management, supervision and representatives – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
| Code | Title |
|---|---|
| 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 |
| asic-market-integrity-rules-securities-markets-2017-australia::2.1.4 | Ensure staff, directors and controllers are of good fame and character and high business integrity |
| asic-market-integrity-rules-securities-markets-2017-australia::2.1.5-2.1.6 | Prevent unprofessional conduct and accept responsibility for employees' acts |
| asic-market-integrity-rules-securities-markets-2017-australia::2.2.1-2.2.5 | Hold adequate professional indemnity insurance and notify ASIC of relevant legal proceedings |
| asic-market-integrity-rules-securities-markets-2017-australia::2.5 | Appoint qualified designated trading representatives with unique identifiers, and own every trading message |
Chapter 3: Client relationships, client money and best execution – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
| Code | Title |
|---|---|
| asic-market-integrity-rules-securities-markets-2017-australia::3.1 | Give required documents and client agreements before accepting a client's first order, and keep them |
| asic-market-integrity-rules-securities-markets-2017-australia::3.2 | Disclose principal trading and obtain client consent before dealing as principal |
| asic-market-integrity-rules-securities-markets-2017-australia::3.3 | Act only on client instructions and avoid excessive trading on managed discretionary accounts |
| asic-market-integrity-rules-securities-markets-2017-australia::3.4 | Send compliant trade confirmations as soon as practicable |
| asic-market-integrity-rules-securities-markets-2017-australia::3.5 | Hold client money in trust or segregated ADI accounts and reconcile daily, notifying ASIC of deficiencies within two business days |
| asic-market-integrity-rules-securities-markets-2017-australia::3.6 | Do not give advice that damages clients when holding non-public price-sensitive information; maintain information barriers |
| asic-market-integrity-rules-securities-markets-2017-australia::3.8 | Take reasonable steps to obtain the best outcome when handling and executing client orders |
| asic-market-integrity-rules-securities-markets-2017-australia::3.9-3.11 | Document, follow, review and disclose best execution arrangements and evidence execution performance |
Chapter 4: Records – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
| Code | Title |
|---|---|
| asic-market-integrity-rules-securities-markets-2017-australia::4.1 | Record client and own-account dealings immediately with timestamps and keep them for seven years |
| asic-market-integrity-rules-securities-markets-2017-australia::4.2-4.3 | Keep accurate business records and complaint records, in English and accessible to ASIC |
Chapter 5 and 5A: Trading conduct, systems and crossing systems – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
| Code | Title |
|---|---|
| asic-market-integrity-rules-securities-markets-2017-australia::5.1 | Deal with and allocate client and own orders fairly and in due turn |
| asic-market-integrity-rules-securities-markets-2017-australia::5.11 | Report suspicious insider trading or manipulation to ASIC as soon as practicable and keep it confidential |
| asic-market-integrity-rules-securities-markets-2017-australia::5.4-5.4A | Pre-approve each trade by connected persons and protect confidential order information |
| asic-market-integrity-rules-securities-markets-2017-australia::5.4B | Do not pay order incentives above the commission earned |
| asic-market-integrity-rules-securities-markets-2017-australia::5.5 | Maintain organisational and technical resources and trading management arrangements to trace every order |
| asic-market-integrity-rules-securities-markets-2017-australia::5.6 | Control automated order processing with filters, reviews, certification and annual notification to ASIC |
| asic-market-integrity-rules-securities-markets-2017-australia::5.7 | Do not create, or facilitate, a false or misleading appearance of trading or price |
| asic-market-integrity-rules-securities-markets-2017-australia::5.9-5.10 | Keep markets fair and orderly and respect suspensions, malfunctions and quotation status |
| asic-market-integrity-rules-securities-markets-2017-australia::5A | Operate crossing systems with disclosure, fair treatment, monitoring and breach notification |
Chapter 8B: Critical business services, information security and business continuity – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
| Code | Title |
|---|---|
| asic-market-integrity-rules-securities-markets-2017-australia::8B.2.1 | Maintain and review arrangements for the resilience, reliability, integrity and security of critical business services |
| asic-market-integrity-rules-securities-markets-2017-australia::8B.2.2 | Test and communicate changes to critical business services before implementation |
| asic-market-integrity-rules-securities-markets-2017-australia::8B.2.3 | Run due diligence, contract and monitor outsourced critical business services |
| asic-market-integrity-rules-securities-markets-2017-australia::8B.3.1 | Protect the confidentiality, integrity and availability of information and keep incident records seven years |
| asic-market-integrity-rules-securities-markets-2017-australia::8B.4.1 | Maintain and test business continuity plans and notify ASIC of major events |
| asic-market-integrity-rules-securities-markets-2017-australia::8B.5.1 | Provide governance and resources for resilience obligations with board or senior management oversight |
Chapters 6 and 7: Transparency and regulatory data – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)
| Code | Title |
|---|---|
| asic-market-integrity-rules-securities-markets-2017-australia::6.1-6.3 | Trade on pre-trade transparent order books unless an exception applies, and report off-book trades promptly |
| asic-market-integrity-rules-securities-markets-2017-australia::7.4.2 | Provide accurate regulatory data with orders and trade reports and keep it confidential |
What is ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) and who does it apply to?
ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) is a compliance framework from Australia (Commonwealth) with 6 domains and 32 controls. ASIC's binding conduct rules for participants in Australian securities markets: supervision and fit and proper staff, client agreements, confirmations and client money, best execution, trading records, order handling, automated trading controls, manipulation and suspicious activity reporting, transparency, regulatory data and operational resilience. It is used by organisations to establish and maintain compliance with industry standards and regulatory requirements.
What does ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) actually require?
ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) has 32 controls organised across 6 domains. The largest domains are Chapter 5 and 5A: Trading conduct, systems and crossing systems – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) (9 controls), Chapter 3: Client relationships, client money and best execution – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) (8 controls), Chapter 8B: Critical business services, information security and business continuity – ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) (6 controls). Each control defines specific requirements that organisations must implement to achieve compliance.
If I already comply with another framework, how much of ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) do I already cover?
ASIC Market Integrity Rules (Securities Markets) 2017 (Australia) does not currently have cross-framework mappings in our system. Check back as we continuously expand our mapping database.
How do I implement ASIC Market Integrity Rules (Securities Markets) 2017 (Australia)?
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