Market integrity rules

We are changing the way market integrity rules apply to market operators and market participants. We are phasing out market-specific rule books – replacing them with a common set of market integrity rules for securities markets and a common set of market integrity rules for futures markets.

Market integrity rules on this page:

 
We also publish monthly Regulatory document update tables, which include updates to regulatory documents not notified in media releases. 

 


Securities markets

From 7 May 2018, ASX, Chi-X, IR Plus, SSX and their participants must comply with a common set of market integrity rules for securities markets.

NSXA and its participants will transition to these rules in stages:

  • From 4 December 2017, NSXA participants using their systems for automated order processing must comply with the ASIC Market Integrity Rules (Securities Markets – Capital) 2017 and Parts 5.5, 5.6 and 5.7 of the ASIC Market Integrity Rules (Securities Markets) 2017.
  • From 5 November 2018, NSXA and its participants must comply with the ASIC Market Integrity Rules (Securities Markets) 2017.
  • From 6 May 2019, all NSXA participants must comply with the ASIC Market Integrity Rules (Securities Markets – Capital) 2017.

Before 7 May 2018, ASX, Chi-X, IR Plus (formerly SIM VSE) , SSX (formerly APX) and their participants must continue to comply with the market integrity rules for each relevant market and, where applicable, the ASIC Market Integrity Rules (Competition in Exchange Markets) 2011.

Market integrity rules

ASIC Market Integrity Rules (Securities Markets) 2017

ASIC Market Integrity Rules (Securities Markets – Capital) 2017

Waivers

Waivers – Securities Markets

Consultation

Consultation Paper 277 Proposals to consolidate the ASIC market integrity rules

Report 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules

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Futures markets

From 7 May 2018, ASX 24, FEX and their participants must comply with a common set of market integrity rules for futures markets.

Before 7 May 2018, ASX 24, FEX and their participants must continue to comply with the market integrity rules for each relevant market and, where applicable, the ASIC Market Integrity Rules (Competition in Exchange Markets) 2011.

Market integrity rules

ASIC Market Integrity Rules (Futures Markets) 2017

ASIC Market Integrity Rules (Futures Markets – Capital) 2017

Waivers

Waivers – Securities Markets

Consultation

Consultation Paper 277 Proposals to consolidate the ASIC market integrity rules

Report 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules

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Competition in exchange markets

Market integrity rules

ASIC Market Integrity Rules (Competition in Exchange Markets) 2011

Guidance

Regulatory Guide 223 Guidance on ASIC market integrity rules for competition in exchange markets

Waivers

Waivers - competition in exchange markets

Consultation

Consultation paper and draft rules - retail trading in Commonwealth Government Securities

Consultation documents - equity market structure

Review of market structure - consultation process and timetable

Dark liquidity and high-frequency trading: Proposals

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ASX

Market integrity rules

ASIC Market Integrity Rules (ASX Market) 2010

 

Comparison of ASX Market Rules and ASIC Market Integrity Rules (ASX Market) 2010

Guidance

Regulatory Guide 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets

Regulatory Guide 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets

Regulatory Guide 238 Suspicious activity reporting

Information Sheet 158 Short sale tagging

Waivers

Waivers - ASX market

Consultation

Consultation paper and draft rules - Automated trading

Consultation documents - ASX, ASX 24 and Chi-X markets

Consultation documents - Non-AFS licensee foreign participants

Dark liquidity and high-frequency trading: Proposals

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ASX 24

Formerly known as Sydney Futures Exchange.

Market integrity rules

ASIC Market Integrity Rules (ASX 24 Market) 2010

Comparison of SFE Operating Rules and ASIC Market Integrity Rules (ASX 24 Market) 2010

Guidance

Regulatory Guide 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets

Regulatory Guide 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets

Regulatory Guide 250 Guidance on ASIC market integrity rules for risk management and other requirements: ASX 24 market

Waivers

Waivers - ASX 24 market

Consultation

Consultation documents - ASX, ASX 24 and Chi-X markets

Consultation Paper 195: Proposed amendments to ASIC market integrity rules: ASX 24 and FEX Markets

Dark liquidity and high-frequency trading: Proposals

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Chi-X

Market integrity rules

ASIC Market Integrity Rules (Chi-X Australia Market) 2011

Guidance

Regulatory Guide 224 Guidance on ASIC market integrity rules for Chi-X and APX markets

Regulatory Guide 238 Suspicious activity reporting

Waivers

Waivers - Chi-X market

Consultation

Consultation paper and draft rules - Automated trading

Consultation documents - ASX, ASX 24 and Chi-X markets

Consultation documents - Non-AFS licensee foreign participants

Dark liquidity and high-frequency trading: Proposals

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APX

Asia Pacific Exchange Limited (APX) changed its name to Asia Pacific Stock Exchange Limited on 28 February 2014 and to Sydney Stock Exchange Limited (SSX) on 11 November 2015.

Market integrity rules

ASIC Market Integrity Rules (APX Market) 2013

ASIC Market Integrity Rules (APX Market) 2010 (revoked on 3 August 2013)

Guidance

Regulatory Guide 224 Guidance on ASIC market integrity rules for Chi-X and APX markets

Regulatory Guide 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets

Regulatory Guide 238 Suspicious activity reporting

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IMB

Market integrity rules

ASIC Market Integrity Rules (IMB Market) 2010

Guidance

Regulatory Guide 215 Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets

 


NSXA

Market integrity rules

ASIC Market Integrity Rules (NSXA Market) 2010

Guidance

Regulatory Guide 215 Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets

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SIM VSE

SIM VSE changed its name to IR Plus Securities Exchange Ltd (IR Plus) on 3 August 2016 and was formerly known as Bendigo Stock Exchange.

Market integrity rules

ASIC Market Integrity Rules (SIM VSE Market) 2010

Guidance

Regulatory Guide 215 Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets

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FEX

Market integrity rules

ASIC Market Integrity Rules (FEX Market) 2013

Consultation paper

Consultation Paper 157 Proposed ASIC market integrity rules: FEX market

Consultation Paper 195: Proposed amendments to ASIC market integrity rules: ASX 24 and FEX Markets

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What's new

ASIC reports on cyber resilience assessments of financial markets firms

30 November 2017

ASIC has released a report on the cyber resilience of over 100 firms in Australia's financial markets sector.

Read the media release

ASIC accepts enforceable undertaking from Foster Stockbroking

24 November 2017

ASIC has accepted an enforceable undertaking from Foster Stockbroking over the stockbroker's capital markets and research businesses, following an ASIC investigation into conflicts of interest.

Read the media release

ASIC accepts enforceable undertakings from ANZ and NAB to address conduct relating to BBSW

20 November 2017

ANZ and NAB have entered into enforceable undertakings in relation to their bank bill trading business and their participation in the setting of the BBSW.

Read the media release

ASIC makes consolidated market integrity rules

17 November 2017

ASIC has consolidated 13 of the existing 14 rule books into four rule books to create a common set of rules for securities markets and a common set of rules for futures markets.

Read the media release

More media releases on markets

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Last updated: 23/11/2017 03:41