ASIC Market Integrity Rules (Securities Markets) Determination 2018/314 I, Anthony Graham, delegate of the Australian Securities and Investments Commission, make the following legislative instrument. Date 1 May 2018 Anthony Graham Contents Part 1—Preliminary 1 Name of legislative instrument 2 Commencement 3 Authority 4 Interpretation Part 2—Determination 5 Market identifier codes 6 Crossing System codes 7 Capacity of Participant 8 Directed wholesale indicator Schedule 1—Crossing System codes Part 1—Preliminary 1 Name of legislative instrument This is the ASIC Market Integrity Rules (Securities Markets) Determination 2018/314. 2 Commencement This instrument commences on the day after it is registered on the Federal Register of Legislation. Note: The register may be accessed at www.legislation.gov.au. 3 Authority This instrument is made under subrules 3.4.3(4), 5A.2.1(5), 6.3.6A(4) and 7.4.4(3) of the ASIC Market Integrity Rules (Securities Markets) 2017 (Rules). 4 Interpretation (1) In this instrument, unless the contrary intention appears, capitalised terms have the same meaning as in the Rules. (2) In this instrument, ASX Centre Point means the Order Book maintained by or on behalf of ASX and known as ASX Centre Point. Part 2—Determination 5 Market identifier codes For the purposes of subrules 3.4.3(4), 6.3.6A(4) and 7.4.4(3) (as that subrule relates to item 1 (Execution venue) of the table in Rule 7.4.4) of the Rules: (a) the code for identifying ASX TradeMatch is ASXT; and (b) the code for identifying ASX Centre Point is ASXC; and (c) the code for identifying the Chi-X Market is CHIA. 6 Crossing System codes For the purposes of subrules 3.4.3(4), 5A.2.1(5), 6.3.6A(4) and 7.4.4(3) (as that subrule relates to item 1 (Execution venue) of the table in Rule 7.4.4) of the Rules, the code for identifying a Crossing System described in columns 2 and 3 of the table in Schedule 1 is the code specified in column 4 of the table. Note: The execution venue for a Crossing is the Crossing System on which the Crossing is matched or executed. 7 Capacity of Participant For the purposes of subrule 7.4.4(3) of the Rules, the notation referred to in item 2 (Capacity of Participant) of the table in Rule 7.4.4 for identifying that in relation to an order or transaction the Participant is acting: (a) as Principal—is "P"; and (b) as agent for a client—is "A"; and (c) as both Principal and agent for a client—is "M". 8 Directed wholesale indicator For the purposes of subrule 7.4.4(3) of the Rules, the notation referred to in item 5 (Directed wholesale indicator) of the table in Rule 7.4.4 for indicating in relation to an order or transaction that: (a) paragraphs (a) and (b) of item 5 are both satisfied— is "Y"; and (b) paragraphs (a) and (b) of item 5 are not both satisfied—is "N". Schedule 1—Crossing System codes Crossing System codes Column 1 Column 2 Column 3 Column 4 Item Operator of Crossing System Crossing System name Code 1 Best Ex Pty Ltd Block Event 2011 2 Citigroup Global Markets Australia Pty Ltd Citi Match 2032 3 CLSA Australia Pty Ltd Crossing Engine 2311 4 Credit Suisse Equities (Australia) Limited CrossFinder 1101 5 Deutsche Securities Australia Limited SuperX 2102 6 Goldman Sachs Australia Pty Ltd Sigma X Australia 3611 7 Instinet Australia Pty Limited BLX Australia 2171 8 ITG Australia Limited POSIT 3451 9 J.P. Morgan Securities Australia Limited JPM-X 2972 10 Liquidnet Australia Pty Ltd [unnamed] 9991 11 Macquarie Securities (Australia) Limited MAQX 1561 12 Macquarie Securities (Australia) Limited MACB 1562 13 Morgan Stanley Australia Securities Limited MS POOL 2991 14 State One Stock Broking Ltd SOSL 1 6781 15 UBS Securities Australia Limited UBS PIN 1501