Please note: From 2024, this Regulatory index will no longer be maintained and will be unpublished in the near future.
Alternatively, you can use:
- Regulatory tracker to search for regulatory documents published since 2020 categorised by subject.
- Find a document to search for regulatory guides, information sheets, reports and consultations filtered by subject.
- Regulatory document updates to search an archive of chronological listings of regulatory documents published on the ASIC website from 2013–2022.
- Regulatory developments timetable to find proposed timeframes for ASIC regulatory work, such as the publication of draft or final guidance, or the anticipated making of a legislative instruments.
The regulatory index is a subject matter index that will help you find ASIC regulatory documents and legislative instruments by topic.
This regulatory index presents one pathway into ASIC's regulatory information. It should be used in conjunction with website search and navigation.
Domestic Australian clearing and settlement facilities
RG 211 Clearing and settlement facilities: Australian and overseas operators
RG 166 Licensing: Financial requirements
RG 172 Financial markets: Domestic and overseas operators
RG 253 Fundraising: Facilitating offers of CHESS Depository Interests
ASIC Corporations (Division 4 Financial Products) Instrument 2015/1030
ASIC Corporations (Dematerialised
Securities: Austraclear) Instrument 2016/841
CO 14/827 Offers of CHESS depository interests
CO 04/291 CHESS Depositary Nominees — FSG relief in relation to CHESS Depositary Interests
REP 194 Response to submissions on CP 120 Operators of clearing and settlement facilities
Overseas clearing and settlement facilities
RG 211 Clearing and settlement facilities: Australian and overseas operators
RG 172 Financial markets: Domestic and overseas operators
REP 322 Response to submissions on CP 186: Clearing and settlement facilities: International principles and cross-border policy (Update to RG 211)
Background
Regulatory index topic: Financial markets: Overseas markets
Regulatory index topic: Fundraising: Offers that do not need a disclosure document - foreign disclosure documents - mutual recognition
Exemptions
RG 253 Fundraising: Facilitating offers of CHESS Depository Interests
CO 14/827 Offers of CHESS depository interests
CO 04/291 CHESS Depositary Nominees — FSG relief in relation to CHESS Depositary Interests
Assessment reports
This section contains:
ASX
ASX Limited/ Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited
REP 33 Market assessment report: ASX Settlement and Transfer Corporation Pty Limited/ Australian Clearing House Pty Limited (November 2004)
REP 57 Market assessment report: ASX Settlement and Transfer Corporation Pty Limited/ Australian Clearing House Pty Limited (September 2005)
REP 79 Market assessment report: Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (July 2006)
REP 94 Market assessment report: ASX Limited/ Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (May 2007)
REP 135 Market Assessment Report: ASX Limited/Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited/Sydney Futures Exchange Limited/SFE Clearing Corporation Pty Limited/Austraclear Limited (August 2008)
REP 168 Market assessment report: Australian Securities Exchange group
REP 222 Market assessment report: ASX group
REP 265 Market assessment report: ASX Group
REP 289 Market assessment report: ASX Group
SFE Clearing Corporation Pty Ltd/Austraclear Limited
REP 67 Market assessment report: SFE Clearing Corporation Pty Ltd/Austraclear Limited (January 2006)
REP 76 Market assessment report: SFE Clearing Corporation Pty Ltd/Austraclear Limited (May 2006)
REP 99 Market assessment report: Sydney Futures Exchange , SFE Clearing Corporation Limited, Austraclear (Nov 2007)
Reports from 2008 onwards included with ASX Limited
ASX CHESS Replacement
The Australian Securities Exchange (ASX) commenced a process of evaluating replacement options for its Clearing House Electronic Sub-register System, CHESS, in 2015. Information about the process and key updates is available on the ASX website.
On 1 October 2020, ASIC and the RBA outlined their expectations of ASX as it replaces the CHESS.
20-229MR ASIC and RBA announce expectations for CHESS replacement
ASIC and RBA announce expectations for CHESS replacement | Media Releases | RBA
While the new system, using distributed ledger technology, was initially intended to ‘go-live’ in Q4 2020 - Q1 2021, there have been a number of delays.
ASIC and the RBA, as co-regulators of licensed clearing and settlement (CS) facilities, have published responses to various ASX announcements.
On 3 August 2022, ASIC and the RBA acknowledged the ASX announcement of a further delay to the CHESS Replacement and the appointment of Accenture to provide an independent review of the new CHESS application software.
22-204MR Delay to the ASX CHESS Replacement Project and Independent Review
Delay to the ASX CHESS Replacement Project and Independent Review | Media Releases | RBA
On 17 November 2022, ASIC and the RBA responded to an ASX announcement that it would reassess all aspects of the CHESS replacement project following completion of the independent review, conducted by Accenture, and its own internal assessment.
22-320MR ASIC-RBA joint statement on ASX CHESS replacement program
ASIC - RBA joint statement on ASX CHESS replacement program | Media Releases | RBA
On 15 December 2022, ASIC and the Reserve Bank of Australia announced further action to ensure that all necessary steps are taken by ASX to support and maintain current CHESS until its replacement is successfully implemented.
22-357MR ASIC – RBA further regulatory response regarding the ASX CHESS replacement program
ASIC – RBA Further Regulatory Response Regarding the ASX CHESS Replacement Program | Media Releases | RBA
On 22 February 2023, ASIC has issued notices to ASX Limited, ASX Clear Pty Ltd and ASX Settlement Pty Ltd (the ASX Licensees) under sections 794B and 823B of the Corporations Act requiring the ASX Licensees to produce two special reports covering:
- how the ASX Licensees will respond to the findings and recommendations of the External Review; and
- the ASX Licensees’ current portfolio, program and project management frameworks and an assessment of those frameworks against internationally recognised standards.
These special reports will be audited by Ernst & Young and will assist ASIC in its assessment of whether any further regulatory action is required.
23-035MR Further ASIC regulatory response on CHESS Replacement and ASX’s program capabilities