We have released our latest market and participant supervision report. 14-207MR. 21 August 2014
We have released our latest market assessment report for ASX Group. 28 July 2014
We are seeking feedback on proposed revisions to the rules that require the mandatory trade reporting of over-the-counter derivatives such as interest rate swaps. 14-177MR. 25 July 2014
We have released the results of a review of rule changes affecting ‘dark trading’ and their impact on market quality.
We have released our latest market assessment report for Chi-X Australia Pty Ltd. May 2014
D2MX Pty Ltd (D2MX) has paid a total penalty of $110,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel. 14-095MR. 6 May 2014
ASIC's role in financial markets
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.
Market structure review
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 (C&S) facilities that have been licensed by the Minister to operate in Australia.
List of facilities that have been exempted by the Minister from the markets licensing provisions and clearing and settlement facility licensing provisions.
Market assessment reports
Under the Corporations Act, ASIC must assess, at least once every year, whether a licensee has adequate arrangements to supervise its market.
Regulatory documents and class orders
Market supervision and surveillance