Exempt markets

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See also previous exemption instruments that have been superseded by new instruments or are no longer effective.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

ASX Settlement Pty Limited 

Operation of the managed investment scheme application and settlement service known as 'mFund'.

Date of gazettal 7 January 2014

BGC Brokers LP

Operation 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

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

EquiLend LLC

Operation of a market for the lending and borrowing of securities, corporate and government bonds, interests in managed investment schemes and a limited range of derivatives.

Date of gazettal 7 October 2014

For more information go to www.equilend.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 391 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

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Last updated: 10/11/2014 04:28