Markets and the role of ASIC

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 is responsible for the supervision of operators of financial markets and clearing and settlement (C&S) facilities and of market participants. We advise the Government on changes to licensee operating rules and on applications for new market and C&S facility licences.

ASIC has taken over responsibility for supervision of real-time trading on Australia's domestic licensed markets. This supplements its existing responsibility for enforcement of the laws against misconduct on Australia's financial markets and its supervision of Australian Financial Services Licence holders.

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What's new

ASIC consults on central clearing obligations for OTC derivatives

We have proposed draft rules to implement mandatory central clearing requirements for certain over-the-counter (OTC) derivatives. 15-132MR. 28 May

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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: 02/02/2015 05:22