Markets

ASIC's role in markets and clearing and settlement A financial market is a facility through which offers to buy and sell financial products are regularly made. Anyone who operates a financial market in Australia must obtain a licence to do so, or otherwise be exempted by the Minister.
ASIC's approach to exercising delegated powers Certain Ministerial powers relating to financial market and clearing and settlement facility matters have been delegated to ASIC.
Market supervision This section contains information about the transfer of market surveillance powers from the Australian Securities Exchange (ASX) and other markets to ASIC.
Market supervision cost recovery The market supervision cost recovery regime recovers funding the Government provides for ASIC's market supervision functions since the transfer of market supervision to ASIC on 1 August 2010.
Market structure On 29 April 2011, ASIC released new market integrity rules for competition in exchange markets.
Market integrity rules These rules are made by ASIC and apply to market operators, market participants, other prescribed entities and financial products traded on the relevant markets.
Licensed financial markets List of domestic markets and overseas markets that have been licensed by the Minister to operate in Australia
Licensed clearing and settlement facilities List of licensed clearing and settlement (CS) facilities that have been licensed by the Minister to operate in Australia.
Licensed and prescribed derivative trade repositories List of Australian Derivative Trade Repository (ADTR) licence holders and information about prescribed derivative trade repositories
Exempt markets List of facilities that have been exempted by the Minister from the markets licensing provisions.
Exempt CS facilities List of CS facilities that have been exempted by the Minister from the CS facility licensing provisions.
Market assessment reports Under the Corporations Act 2001 (Corporations Act) ASIC has the power to assess how well the operator of a market and/or CS facility is complying with their obligations under the Corporations Act.

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What's new

ASIC reports on cyber resilience assessments of financial markets firms

30 November 2017

ASIC has released a report on the cyber resilience of over 100 firms in Australia's financial markets sector.

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ASIC accepts enforceable undertaking from Foster Stockbroking

24 November 2017

ASIC has accepted an enforceable undertaking from Foster Stockbroking over the stockbroker's capital markets and research businesses, following an ASIC investigation into conflicts of interest.

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ASIC accepts enforceable undertakings from ANZ and NAB to address conduct relating to BBSW

20 November 2017

ANZ and NAB have entered into enforceable undertakings in relation to their bank bill trading business and their participation in the setting of the BBSW.

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ASIC makes consolidated market integrity rules

17 November 2017

ASIC has consolidated 13 of the existing 14 rule books into four rule books to create a common set of rules for securities markets and a common set of rules for futures markets.

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More media releases on markets

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The market entity compliance system (MECS) provides market entities with tools and information to assist with compliance.

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Last updated: 03/08/2010 12:00