🇦🇺 Live Securities & Capital Markets

ASIC Market Integrity Rules (Securities Markets)

Sets market integrity and trading conduct rules for participants in Australian securities markets.

View official source document

Rules extracted

153

Obligations decomposed

12.8x

Avg obligations per rule

🇦🇺 Australia

Jurisdiction

About this regulation

The ASIC Market Integrity Rules (Securities Markets) 2017 consolidated and replaced multiple previous market integrity rule books. The rules apply to market operators (ASX, Chi-X/Cboe Australia, NSXA, SSX) and their participants. They cover order handling, best execution, pre-trade and post-trade transparency, crossing systems, market-making, suspicious activity reporting, trade confirmations, and manipulative trading. The rules are made under Part 7.2A of the Corporations Act 2001 and are supplemented by ASIC Regulatory Guides RG 223, RG 265, and RG 266.

What AuditDSS covers

Source

Regulation

Extracted

Rules

Decomposed

153

Obligations

12.8x

Decomposition ratio

Each rule is decomposed into an average of 12.8 atomic obligations — the smallest testable units that can be independently violated.

Fully extracted & scored

All 153 obligations have been decomposed, titled, risk-scored, and embedded for semantic matching.

Risk scoring

Every obligation in ASIC MIR is scored across independent risk dimensions:

Obligation Weight

How critical within the regulatory framework

Violation Likelihood

How often breached in practice

Enforcement Evidence

Regulator enforcement history and penalties

Cascade Dependency

How many obligations depend on this one

Regulatory details

Full title: ASIC Market Integrity Rules (Securities Markets)
Regulatory body: Australian Securities and Investments Commission
Jurisdiction: 🇦🇺 Australia
Document type: legislative-instrument
Effective date: December 18, 2017
Issuing authority: Australian Securities and Investments Commission (ASIC)
Industry: Securities & Capital Markets
Official source: View source document ↗

Who this applies to

market operators (ASX, Chi-X/Cboe, NSXA, SSX)market participantscrossing system operators

Key requirements

order handling obligations
best execution
client order priority
pre-trade transparency
post-trade transparency
crossing systems regulation
manipulative trading prohibition
suspicious activity reporting
trade confirmations
market-making obligations

Frequently asked questions about ASIC MIR

What is ASIC MIR?

Who does ASIC MIR apply to?

ASIC MIR applies to market operators (ASX, Chi-X/Cboe, NSXA, SSX), market participants, crossing system operators.

How many obligations does ASIC MIR contain?

AuditDSS has decomposed ASIC MIR into 153 atomic obligations from 12 rules. Each obligation is independently testable and risk-scored.

What are the key requirements of ASIC MIR?

The key requirements include: order handling obligations, best execution, client order priority, pre-trade transparency, post-trade transparency, crossing systems regulation, manipulative trading prohibition, suspicious activity reporting, trade confirmations, market-making obligations.

How can I assess my ASIC MIR compliance?

Upload your compliance policy to AuditDSS. The platform maps your document against all 153 ASIC MIR obligations using deterministic AI scoring — not checklists or LLM summaries. You get a risk-scored gap analysis showing exactly which obligations are covered, partially covered, or missing.

Which jurisdiction enforces ASIC MIR?

ASIC MIR is enforced in Australia by Australian Securities and Investments Commission.

When did ASIC MIR come into effect?

ASIC MIR became effective on December 18, 2017.

What industry does ASIC MIR apply to?

ASIC MIR is primarily relevant to the Securities & Capital Markets industry. AuditDSS covers 98 regulations in this industry sector.

Build a ASIC MIR compliance pack

Don't have a compliance policy yet? AuditDSS generates a complete compliance pack for ASIC MIR — alone or combined with other regulations your business needs. Every clause is mapped to specific obligations.

Policy

High-level commitments and governance framework covering ASIC MIR requirements.

Procedures

Step-by-step operational procedures to implement each policy commitment.

Forms & checklists

Ready-to-use forms, registers, and checklists for day-to-day compliance operations.

Multi-regulation

Combine ASIC MIR with other regulations into a single unified compliance pack for your business.

Build ASIC MIR compliance pack

Already have a policy? Assess it against ASIC MIR

Upload your document

Upload your compliance policy, program manual, or operational document. AuditDSS accepts any text-based document.

AI maps against 153 obligations

Your document is scored against every obligation in ASIC MIR. Each claim is mapped to the obligation tree and evaluated for coverage.

Risk-scored gap report

Receive every gap ranked by risk priority with remediation guidance, enforcement evidence, and cascade impact analysis.