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

Market Integrity Update

17 March 2017

The latest issue of the Market Integrity Update is now available

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ASIC permanently bans former Morgan Stanley Wealth Management financial adviser from providing financial services 

10 March 2017

We have permanently banned Andrew Peter Panayiotides from providing financial services after he failed to act in the best interests of clients.

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ASIC's enforcement report highlights key outcomes from the second half of 2016

8 March 2017

ASIC has today released its enforcement report for the period 1 July 2016 to 31 December 2016.The report also covers ASIC's key priorities and long-term challenges going forward.

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Employee share trading and market integrity

2 March 2017

We have published an article on your obligations regarding employee share trading in the latest issue of the Stockbrokers and Financial Advisers Monthly.

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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