Amendment Instrument 2026/574 · F2026L01223 Registered 17 September 2026 · commences 17 March 2028
The Art of Service · Market conduct ASIC Market Integrity Rules Checker The amended ASIC market integrity rules, the duty on each page, the evidence an auditor asks for, and the date it starts.
InstrumentAmendment 2026/574
Registered17 September 2026
Commences17 March 2028
In this record19 duties · 82 evidence items

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Specimen

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This is a labelled six-row extract, not the full kit. The full kit has 19 duty rows, 82 evidence items and the eight milestone plan.

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RefRuleRequirement in our wordsEvidenceOwnerDue
ASICMIR-4.1.14.1.1Keep a record of each client instruction and each stage of its processing, including every representative, amendment and the resulting transaction.Record schema, tested reconstruction, exception log.
ASICMIR-5.5.15.5.1A message carrying your identifier is yours. Authorise the representative in writing, confirm competence and test knowledge.Authorisation, competence, knowledge check, entitlement reconciliation.
ASICMIR-5.6.3A5.6.3AMonitor messages for interference and run post-trade surveillance for a false or misleading appearance.Monitoring design, surveillance design, alert records, effectiveness test.
ASICMIR-5.6.3B5.6.3BGovern the whole life of every Trading Algorithm and test it before first use, client availability and material change.Procedure, inventory, test records, competence records.
ASICMIR-5.6.8A5.6.8AReview each Trading System every 12 months unless a Material Change Review covers the period, and get the officer statement within 20 business days.Calendar, review report, officer statement, substitution record.
ASICMIR-5.7.15.7.1Do not create or facilitate a false or misleading appearance, including where you ought reasonably to suspect the client intent.Surveillance, factor analysis, training, escalation.

Specimen, labelled. Not the full kit. Not legal advice; does not certify.