Corporations Act 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.8
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OTHER PROVISIONS RELATING TO CONDUCT ETC. CONNECTED WITH FINANCIAL PRODUCTS AND FINANCIAL SERVICES, OTHER THAN FINANCIAL PRODUCT DISCLOSURE
Division 7
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Other rules about conduct
SECTION 991C
991C
REGULATIONS MAY DEAL WITH VARIOUS MATTERS RELATING TO INSTRUCTIONS TO DEAL THROUGH LICENSED MARKETS
The regulations may do all or any of the following in relation to instructions received by financial services licensees to deal in financial products through licensed markets: (a) impose requirements relating to the order in which instructions are to be transmitted to a licensed market or to another financial services licensee who is a participant in a licensed market; (b) impose requirements relating to the order in which dealings that have been effected on a licensed market are to be allocated to instructions; (c) prohibit the disclosure of instructions in specified circumstances.
Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .
View history note
Hide history noteCCH Note: Division 7 is modified by the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.
CCH Note: Section 991C is modified by the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.
The regulations may do all or any of the following in relation to instructions received by financial services licensees to deal in financial products through licensed markets: (a) impose requirements relating to the order in which instructions are to be transmitted to a licensed market or to another financial services licensee who is a participant in a licensed market; (b) impose requirements relating to the order in which dealings that have been effected on a licensed market are to be allocated to instructions; (c) prohibit the disclosure of instructions in specified circumstances.
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