Securities and Futures (Organised Markets) Regulations 2018
Table of Contents
Enacting Formula
Part 1 PRELIMINARY
1 Citation and commencement
2 Definitions
3 Forms
4 Fees
5 Keeping of books and other information
Part 2 APPROVAL AND RECOGNITION
6 Minimum requirements for approval or recognition
7 Criteria for deciding whether applicant should be approved as approved exchange or recognised as recognised market operator
Part 3 REGULATION OF APPROVED EXCHANGES
Division 1 — Obligations of, and matters relating to, approved exchanges
8 Obligation to notify Authority of certain matters
9 Obligation to submit periodic reports
10 Exceptions to obligation to maintain confidentiality
11 Business continuity plan
12 Determination and publication of short sell orders
13 Provision of information
14 Transmission and storage of user information
15 Requirements to register trading personnel
16 Amounts to be paid out of fidelity funds
Division 2 — Rules of approved exchanges
17 Content of rules of approved exchanges
18 Amendment of business rules and listing rules
Division 3 — Matters requiring approval of Authority
19 Application and criteria for approval to acquire substantial shareholding
20 Approval of chairman, chief executive officer, director and key persons
Part 4 REGULATION OF RECOGNISED MARKET OPERATORS
21 Obligation to notify Authority of certain matters
22 Obligation to submit periodic reports
23 Exceptions to obligation to maintain confidentiality
24 Business continuity plan
25 Provision of information
26 Transmission and storage of user information
27 Exemption for certain market operators
Part 5 MISCELLANEOUS
28 Criteria for determining whether officer failed to discharge duties or functions
29 Offences
Part 6 REVOCATION AND SAVING AND TRANSITIONAL PROVISIONS
30 Revocation
31 Saving and transitional provisions