The Stock Exchange Agreement serves as the foundational document governing the relationship between Australian securities market operators and their participants. This agreement is essential for any entity seeking to participate in Australian securities markets, establishing their rights, obligations, and operational parameters. It must comply with the comprehensive regulatory framework established by the Corporations Act 2001 and ASIC requirements, including specific provisions for market integrity, systemic risk management, and participant supervision. The agreement typically covers various aspects such as trading permissions, compliance obligations, technical requirements, risk management procedures, and fee structures. It's designed to ensure fair, orderly, and transparent markets while maintaining the integrity of the Australian financial system.
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1. Parties: Identification of the stock exchange operator and the participant/member
2. Background: Context of the agreement, including regulatory framework and purpose
3. Definitions: Comprehensive definitions of terms used throughout the agreement
4. Membership Requirements: Eligibility criteria, obligations, and conditions for maintaining membership
5. Trading Rights and Obligations: Rights granted to members and their obligations in trading activities
6. Compliance Requirements: Regulatory compliance obligations, including reporting and monitoring requirements
7. Risk Management: Risk management procedures, capital requirements, and clearing arrangements
8. Technology and Systems: Technical requirements, system access, and connectivity specifications
9. Fees and Charges: Structure of fees, payment terms, and billing procedures
10. Default Provisions: Procedures and consequences in case of default or breach
11. Dispute Resolution: Procedures for handling disputes between parties
12. Termination: Conditions and procedures for termination of membership
13. Confidentiality: Obligations regarding confidential information and data protection
14. General Provisions: Standard legal provisions including governing law, notices, and amendments
1. Market Making Obligations: Required when the member will act as a market maker
2. Direct Market Access: Included when the member provides DMA services to clients
3. Sponsored Access: Required for members offering sponsored access to their clients
4. Cross-Border Trading: Included for international members or cross-border trading activities
5. Data Distribution: Required when the member will distribute market data
6. Algorithmic Trading: Included when the member engages in algorithmic or high-frequency trading
7. Research Services: Required when the member provides research services
8. Force Majeure: Optional expanded provisions for extraordinary circumstances
1. Schedule 1 - Technical Specifications: Detailed technical requirements and protocols for system connectivity
2. Schedule 2 - Fee Schedule: Detailed breakdown of all applicable fees and charges
3. Schedule 3 - Trading Parameters: Specific trading rules, hours, and operational parameters
4. Schedule 4 - Risk Management Procedures: Detailed risk management requirements and procedures
5. Schedule 5 - Compliance Manual: Detailed compliance procedures and requirements
6. Schedule 6 - Service Level Agreement: Performance standards and service levels
7. Appendix A - Forms and Certificates: Standard forms, applications, and certificates required
8. Appendix B - Contact Details: List of key contacts and escalation procedures
9. Appendix C - Data Protocols: Technical specifications for data formats and transmission
Relevant legal definitions
Applicable Law
ASIC
ASX
Authorized Person
Business Day
Clearing House
Clearing Rules
Confidential Information
Corporate Action
Default Event
Direct Market Access
Emergency Situation
Exchange Rules
Financial Product
Force Majeure Event
Initial Margin
Interface
Market Data
Market Hours
Market Maker
Market Participant
Member
Operating Rules
Order
Participant ID
Position Limit
Prohibited Person
Quote
Regulatory Authority
Related Body Corporate
Security Interest
Settlement Date
Settlement Facility
Sponsored Access
System
Trading Day
Trading Platform
Trading Rights
Transaction
User ID
Variation Margin
ASIC
ASX
Authorized Person
Business Day
Clearing House
Clearing Rules
Confidential Information
Corporate Action
Default Event
Direct Market Access
Emergency Situation
Exchange Rules
Financial Product
Force Majeure Event
Initial Margin
Interface
Market Data
Market Hours
Market Maker
Market Participant
Member
Operating Rules
Order
Participant ID
Position Limit
Prohibited Person
Quote
Regulatory Authority
Related Body Corporate
Security Interest
Settlement Date
Settlement Facility
Sponsored Access
System
Trading Day
Trading Platform
Trading Rights
Transaction
User ID
Variation Margin
Clauses
Interpretation
Membership Requirements
Trading Rights
Market Access
Compliance Obligations
Risk Management
Technical Requirements
System Access
Market Data
Fees and Charges
Payment Terms
Default Provisions
Emergency Powers
Market Making Obligations
Clearing and Settlement
Confidentiality
Data Protection
Intellectual Property
Representations and Warranties
Indemnification
Limitation of Liability
Force Majeure
Term and Termination
Suspension Rights
Dispute Resolution
Governing Law
Assignment
Notices
Amendment
Entire Agreement
Severability
Third Party Rights
Anti-Money Laundering
Record Keeping
Reporting Requirements
Business Continuity
Security Measures
Audit Rights
Membership Requirements
Trading Rights
Market Access
Compliance Obligations
Risk Management
Technical Requirements
System Access
Market Data
Fees and Charges
Payment Terms
Default Provisions
Emergency Powers
Market Making Obligations
Clearing and Settlement
Confidentiality
Data Protection
Intellectual Property
Representations and Warranties
Indemnification
Limitation of Liability
Force Majeure
Term and Termination
Suspension Rights
Dispute Resolution
Governing Law
Assignment
Notices
Amendment
Entire Agreement
Severability
Third Party Rights
Anti-Money Laundering
Record Keeping
Reporting Requirements
Business Continuity
Security Measures
Audit Rights
Relevant Industries
Financial Services
Investment Banking
Securities Trading
FinTech
Market Infrastructure
Professional Services
Technology Services
Banking
Asset Management
Regulatory Compliance
Relevant Teams
Legal
Compliance
Risk Management
Trading Operations
Technical Operations
Market Operations
Regulatory Affairs
Settlement Operations
Member Services
Systems Implementation
Information Technology
Business Development
Finance
Relevant Roles
Chief Executive Officer
Chief Legal Officer
Chief Compliance Officer
Head of Trading
Legal Counsel
Compliance Manager
Risk Manager
Trading Operations Manager
Technical Operations Director
Market Access Manager
Regulatory Affairs Director
Settlement Operations Manager
Member Services Director
Systems Implementation Manager
Chief Technology Officer
Chief Risk Officer
Head of Market Operations
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