Lodge online

Register for online access

How to lodge

Download paper forms

Search all forms

Search ASIC registers

Within: 

Search financial services/credit licensees and representatives, liquidators, auditors and more

Professional registers

--------------------------------------------------

More information

Lodge online

decrease text size increase text size print page

Exempt facilities operating in Australia


Listed below are the facilities that have been exempted by the Minister from the markets licensing provisions and clearing and settlement facility licensing provisions, in accordance with Chapter 7 of the Corporations Act.

You can download a PDF version of the exemption instrument for each facility listed.

We will add to this list when new exemptions are approved. Exemptions are effective from the date of gazettal or at a later date specified by the Minister.

See also previous exemption instruments that have been superseded by new instruments or are no longer effective.

Exempted entityDescription of exempted activity
BGC Brokers LP PDF downloadOperation of a market in credit derivatives, foreign exchange options and interest rate derivatives.

Date of gazettal 28 August 2012

For more information go to www.bgcpartners.com

See also previous exemption notice
Creditex Brokerage LLP Operation of a market in credit derivatives and bonds

Date of gazettal 22 February 2010

For more information go to www.creditex.com
Currenex Inc PDF download
Operation of (a) a market in spot metals, spot foreign exchange, foreign exchange derivatives and metals derivatives; and (b) a market in spot metals and spot foreign exchange.

Date of gazettal 12 April 2011

For more information go to: www.currenex.com
EBS Service Company Limited Operation of a market in spot and derivatives, for both foreign exchange and metals

Date of gazettal 2 March 2010

For more information go to www.ebs.com
FX Alliance International LLC Operation of a market in foreign exchange contracts and derivatives in relation to foreign exchange contracts

Participants must be as described in the exemption

Date of gazettal 31 March 2006

For more information go to www.fxall.com
Genea Limited (formerly known as Sydney IVF Limited) Operation of a pre-emption rights by tender market in Sydney IVF Limited shares and options in ordinary unissued Sydney IVF Limited shares in accordance with clause 8.2 of its constitution as at 6 November 2008.

Date of gazettal 8 February 2010

Variation of the exemption gazetted 9 April 2013, changes name of entity from Sydney IVF Limited to Genea Limited.

For more information go to www.genea.com.au.
GFI Brokers Limited Operation of a market in foreign exchange options and credit default swaps.
Date of gazettal 4 December 2007

Variation to include the trading of bonds and metal options
Date of gazettal 2 March 2010

For more information go to www.gfigroup.com
GFI Group Pte Ltd Operation of a financial market in interest rate derivatives

Date of gazettal 26 July 2011
ICAP Brokers Pty Ltd Operation of the market known as ETC

Date of gazettal 2 March 2010

Variation of exemption gazetted 30 July 2013 to permit trading of corporate bonds, New Zealand government bonds, credit derivatives and interest rate derivatives.

For more information go to www.icap.com

See also previous exemption notice
ICAP Europe Limited Operation of a market in foreign exchange forwards

Date of gazettal 16 February 2010

For more information go to www.icap.com
ICAP Securities Ltd Operation of a market in credit derivatives

Date of gazettal 18 May 2010

Variation of exemption gazetted 26 July 2011 to permit trading of interest rate derivatives.

For more information go to www.icap.com
i-Swap AUD NZD Pty Ltd Operation of a market in interest rate derivatives.

Date of gazettal 12 March 2013

For more information go to
www.icap.com
National Golf Holdings Limited Operation of a share trading facility

Date of gazettal 19 July 2005

For more information go to www.nationalgolf.com.au
ParFX (UK) Ltd Operation of a market in spot foreign exchange contracts

Date of gazettal 11 February 2014

For more information go to www.parfx.com
State Street Bank & Trust Company Operation of the market known as FX Connect

Date of gazettal 10 March 2004

For more information go to www.statestreet.com
Terrey Hills Golf & Country Club Holdings Limited Operation of a note and share transfer facility - Date of gazettal 2 August 2011.

For more information go to www.terreyhillsgolf.com.au

See also previous exemption notice
TFS ICAP Ltd Operation of a market in foreign exchange options
Date of gazettal 24 December 2013

For more information go to www.traditionicap.com
360 Treasury Systems AG Operation of a market in spot foreign exchange, foreign exchange derivatives, interest rate derivatives and deposit-taking facilities.

Date of gazettal 26 February 2013

For more information go to www.360t.com
TradeWeb Europe Limited Operation of a market in fixed-income products

Date of gazettal 18 September 2007

Please note that the last paragraph of condition 6 should be indented such that it only applies to condition 6(b).

For more information go to www.tradeweb.com
Tri-Optima AB Operation of a market in credit derivatives and interest rate derivatives.

Date of gazettal 12 March 2013

For more information go to
www.trioptima.com
Tullett Prebon (Singapore) Limited Operation of a market in foreign exchange options
Date of gazettal 18 September 2007

Variation of exemption gazetted 16 February 2010 to permit trading of metals options

For more information go to www.tullettprebon.com
Tullett Prebon (Australia) Limited Operation of a market in bonds and in credit derivatives

Date of gazettal 18 May 2010


Variation of exemption gazetted 19 July 2011 to permit trading in interest rate derivatives and foreign exchange contracts that are foreign exchange forwards

For more information go to
www.tullettprebon.com
Various - class exemptions under s791CDescription of exempted activity
Corporations (low volume financial markets) exemption notice 2003 [03/1162]

Register of entities under the Corporations (Low Volume Financial Markets) Exemption Notice 2003 (PDF 368 KB)
Operation of a low volume market in only certain classes of financial products

Date of gazettal 20 January 2004

Entities required to register activity with ASIC. For details of how to register contact:

Manager Licensing
Registry Services & Licensing
Australian Securities & Investment Commission
PO Box 4000
Gippsland Mail Centre
Traralgon 3841
Tel: (03) 5177 3700
creditlicensing@asic.gov.au

0 More about financial markets


decrease text size increase text size print page