Financial markets

The regulatory index is a subject matter index that will help you find ASIC regulatory documents and legislative instruments by topic.

This regulatory index presents one pathway into ASIC's regulatory information. It should be used in conjunction with website search and navigation.

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Market supervision

RG 241 Electronic trading

REP 440 Financial benchmarks

REP 487 Review of Australian equity market cleanliness

REP 623 Review of Australian equity market cleanliness: 1 November 2015 to 31 October 2018

REP 708 ASIC’s expectations for industry in responding to a market outage (see 21-313MR, 22-159MR and 22-300MR)

REP 716 Cyber resilience of firms in Australia’s financial markets: 2020–21 (see 21-331MR)

22-005MR ASIC embarks on regtech innovation initiative into poor market disclosure

Related information

Markets Disciplinary Panel

RG 216 Markets Disciplinary Panel

REP 624 Response to submissions on CP 306 Markets Disciplinary Panel (see 19-204MR)

RG 225 Markets Disciplinary Panel practices and procedures

Market integrity rules

This section contains:

Related information

Regulatory resources > Markets > Market Integrity Rules

Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules

Rule amendments - 10 March 2022

22-045MR ASIC amends market integrity rules and other ASIC-made rule books

Related information

  • REP 719 Response to submissions on CP 314 Market integrity rules for technological and operational resilience
  • ASIC Market Integrity Rules (Securities Markets and Futures Markets) Amendment Instrument 2022/74
  • REP 720 Response to submissions on CP 342 Proposed amendments to the ASIC market integrity rules and other ASIC-made rules (see 21-155MR)
  • ASIC Market Integrity Rules (Securities Markets and other ASIC-Made Rules) Amendment Instrument 2022/117
  • REP 721 Response to submissions on CP 347 Proposed amendments to the prohibition on order incentives in the ASIC market integrity rules (see 21-224MR)
  • ASIC Market Integrity Rules (Securities Markets) Amendment 2022/73

Capital

21-137MR ASIC makes new market integrity rules for capital

ASIC Market Integrity Rules (Capital) 2021

REP 692 Response to submissions on CP 302 Proposed changes to ASIC’s capital requirements for market participants 

ASIC Market Integrity Rules (Capital, Securities Markets) Barclays Capital Asia Limited Waiver 2022/516

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Securities markets

ASIC Market Integrity Rules (Securities Markets) 2017

ASIC Market Integrity Rules (Securities Markets – Capital) 2017

RG 265 Guidance on ASIC market integrity rules for participants of securities markets

ASIC Market Integrity Rules (Securities Markets) Class Waiver 2018/303

ASIC Market Integrity Rules (Securities Markets) Determination 2018/314

ASIC Market Integrity Rules (Securities Markets) Determination 2018/317

ASIC Market Integrity Rules (Securities Markets) Class Waiver 2020/870

ASIC Corporations (Securities Lending Arrangements) Instrument 2021/821 (see REP 706, CP 319 and submissions and 19-193MR)

ASIC Market Integrity Rules (Securities Markets and Futures Markets) Amendment Instrument 2022/74 (to be repealed 11 March 2023)

ASIC Market Integrity Rules (Capital, Securities Markets) Barclays Capital Asia Limited Waiver 2022/516

ASIC Market Integrity Rules (Securities Markets) NSXA and SSX Markets (Operators and Participants) Class Waiver 2022/881

ASIC Market Integrity Rules (Securities Markets) Determination 2023/707 (commences 6 October 2023)

Related information

Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules

Background

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

REP 555 Cyber resilience of firms in Australia’s financial markets

REP 592 Review of ASX Group’s technology governance and operational risk management standards

Futures markets

ASIC Market Integrity Rules (Futures Markets) 2017

ASIC Market Integrity Rules (Futures Markets – Capital) 2017

RG 266 Guidance on ASIC market integrity rules for participants of futures markets

ASIC Market Integrity Rules (Futures Markets) Class Waiver 2018/313

ASIC Market Integrity Rules (Futures Markets) Determination 2018/315

Related information

Home  > Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules

Background

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

REP 555 Cyber resilience of firms in Australia’s financial markets

REP 592 Review of ASX Group’s technology governance and operational risk management standards

IMB

ASIC Market Integrity Rules (IMB Market) 2010

RG 265 Guidance on ASIC market integrity rules for participants of securities markets

Short selling

RG 196 Short selling

REP 302 Short selling: Post-implementation review

INFO 95 Requirements for disclosure and reporting of short sales

INFO 98 Short selling: Short position reporting

INFO 158 Short sale tagging (Withdrawn)

INFO 255 Activist short selling campaigns in Australia (see 21-118MR)

ASIC Corporations (Short Selling) Instrument 2018/745

REP 608 Response to submissions on CP 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders

High-frequency trading

REP 331 Dark liquidity and high-frequency trading

INFO 178 Dark liquidity and high-frequency trading (2012)

INFO 209 Review of high-frequency trading and dark liquidity (2015)

REP 394 Review of recent rule changes affecting dark liquidity

REP 452 Review of high-frequency trading and dark liquidity

REP 597 High-frequency trading in Australian equities and the Australian–US dollar cross rate

REP 598 High-frequency trading in Australian equities and the Australian–US dollar cross rate (summary version)

Market structure

INFO 177 Quarterly cash equity market data: Methodology and definitions

Financial benchmarks

RG 268 Licensing regime for financial benchmark administrators

REP 440 Financial benchmarks

ASIC Corporations (Significant Financial Benchmarks) Instrument 2018/420

ASIC Financial Benchmark (Administration) Rules 2018

ASIC Financial Benchmark (Compelled) Rules 2018

Background

CP 292 Implementing the financial benchmark regulatory regime

Exchange traded products

INFO 225 Crypto-assets 

INFO 230 Exchange traded products: Admission guidelines 

REP 705 Response to submissions on CP 343 Crypto-assets as underlying assets for ETPs and other investment products (see 21-153MR and 21-285MR)

REP 750 Response to submissions on CP 356 ETP naming conventions: Updates to INFO 230 (see 22-003MR and 22-325MR)

[CO 13/721] Relief to facilitate quotation of exchange traded funds on the AQUA Market (see 21-142MR)

Reporting suspicious activity

RG 103 Confidentiality and release of information

RG 265 Guidance on ASIC market integrity rules for participants of securities markets (supersedes RG 238)

RG 266 Guidance on ASIC market integrity rules for participants of futures markets (supersedes RG 238)

INFO 237 Protecting against share sale fraud

INFO 238 Whistleblower rights and protections

INFO 239 How ASIC handles whistleblower reports

INFO 265 Reports of suspicious activity in FICC markets 

ASIC immunity policy

Background

Home > Regulatory resources > Markets > Report suspicious activity

Domestic Australian markets

This section contains:

Background

Regulatory index topic: Market supervision

Regulatory index topic: Clearing and settlement facilities

Letter

ASIC-RBA joint letter to ASX Clear and ASX Settlement CS Advisory Group (PDF 91 KB) (see 23-236MR)

Regulatory guides

RG 172 Financial markets: Domestic and overseas operators

RG 196 Short selling: Overview of s1020B

RG 241 Electronic trading

Legislative instruments

[CO 01/15] Sydney Futures Exchange — participant's relevant interest and voting power

[CO 03/965] Sydney Futures Exchange — extension of the definition of "member" of a futures organisation

[CO 13/721] Relief to facilitate quotation of exchange traded funds on the AQUA Market (see 21-142MR)

ASIC Corporations (Market Research and Roadshows) Instrument 2016/79

ASIC Corporations (Electronic Lodgment of Financial Reports) Instrument 2016/181

ASIC Corporations (Exchange-Traded Derivatives: Multiple Issuers) Instrument 2016/883

ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886

ASIC Corporations (Records: Dealings on Foreign Markets) Instrument 2016/889

ASIC Corporations (Transfers of Division 3 Securities) Instrument 2016/893

ASIC Corporations (NZD Denominated Client Money) Instrument 2018/152

ASIC Corporations (Short Selling) Instrument 2018/745

ASIC Corporations (Margin Lending Relief for Exchange-Traded Instalment Warrants) Instrument 2021/194

ASIC Corporations (Short Term Trading Market) Instrument 2021/218

ASIC Market Integrity Rules (Securities Markets) Determination 2021/509

Reports

REP 83 Small and mid-cap miners study

REP 158 Survey of the OTC derivatives market in Australia

REP 309 Report on the Australian OTC Derivatives Market – October 2012

REP 486 Sell-side research and corporate advisory: Confidential information and conflicts

REP 525 Promoting better behaviour: Spot FX

REP 583 Review of exchange traded products

REP 592 Review of ASX Group’s technology governance and operational risk management standards

REP 608 Response to submissions on CP 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders

REP 652 Wholesale FX practices in Australia

REP 732 Pump and dump of micro-cap securities

REP 741 Conduct risk in wholesale fixed income markets (see 22-288MR)

REP 742 Managing conflicts of interest in wholesale financial markets (22-288MR)

Information sheets

INFO 50 Notifying a market operator about directors’ interests in company securities

INFO 95 Requirements for disclosure and reporting of short sales from 19 November 2008

INFO 230 Exchange traded products: Admission guidelines (see 22-003MR and 22-325MR)

Debt capital markets

REP 668 Allocations in debt capital market transactions

REP 393 Handling of confidential information: Briefings and unannounced corporate transactions

REP 605 Allocations in equity raising transactions

RG 79 Research report providers: Improving the quality of investment research

RG 181 Licensing: Managing conflicts of interest

RG 264 Sell-side research

Overseas markets

RG 172 Financial markets: Domestic and overseas operators

RG 72 Foreign securities disclosure relief

RG 163 Takeovers: Minimum bid price principle

RG 253 Fundraising: Facilitating offers of CHESS Depository Interests

ASIC Regulated Foreign Markets Determination [OTC DET 13/1145]

ASIC Corporations (Foreign Securities – Small-Scale Offers) Instrument 2015/362

ASIC Corporations (Approved Foreign Financial Markets) Instrument 2015/1071

ASIC Corporations (Foreign Small-Scale Offers)
Instrument 2015/362

ASIC Corporations (Definition of Approved Foreign Market) Instrument 2017/669

CO 04/443 Licensing relief for offshore participants in the market operated by Eurex Frankfurt AG

CO 04/444 Licensing relief for offshore participants in the market operated by Chicago Mercantile Exchange Inc.

CO 05/84 JSE Securities Exchange South Africa added to ASIC's downstream acquisition takeover relief

CO 14/827 Offers of CHESS depository interests

INFO 252 Managing conduct risk during LIBOR transition (see 20-304MR)

REP 134 Enhancing capital flows into and out of Australia

REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests

Background

Regulatory index topic: Fundraising: Offers that do not need a disclosure document - Foreign disclosure documents-mutual recognition

Exemptions

CO 04/443 Licensing relief for offshore participants in the market operated by Eurex Frankfurt AG

CO 04/444 Licensing relief for offshore participants in the market operated by Chicago Mercantile Exchange Inc.

ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186

INFO 217 Licensing relief for low volume financial markets

Assessment reports

Related information

Home > Regulatory resources > Markets > Market structure > Licensed market and clearing and settlement facility assessment reports

Listed entities

This section contains:

RG 193 Notification of directors' interests in securities—listed companies

REP 593 Climate risk disclosure by Australia’s listed companies

Continuous disclosure

RG 66 Transaction specific disclosure

RG 86 Beneficial ownership notices

RG 95 Disclosing entity provisions relief

RG 25 Takeovers: False and misleading statements

RG 62 Better disclosure for investors

RG 73 Continuous disclosure obligations: infringement notices

ASIC Corporations (Securities Lending Arrangements) Instrument 2021/821 (see 19-193MR, CP 319 and submissions and REP 706)

Derivatives

Rules

ASIC Derivative Transaction Rules (Reporting) 2013 (repealed 1 October 2023)

ASIC Derivative Trade Repository Rules 2023 (commences 1 October 2023)

ASIC Derivative Transaction Rules (Clearing) 2015

ASIC Derivative Transaction Rules (Reporting) 2022 (until 20 October 2024 inclusive)

ASIC Derivative Transaction Rules (Reporting) 2024 (from 21 October 2024)

Regulatory Guides

RG 227 Over-the-counter contracts for difference: Improving disclosure for retail investors

RG 249 Derivative trade repositories

RG 251 Derivative transaction reporting

Legislative instruments

Corporations (Derivatives) Determination 2013 (Minister's determination)

ASIC Regulated Foreign Markets Determination [OTC DET 13/1145] (Regulated Foreign Markets)

ASIC Derivative Transaction Rules (Nexus Derivatives) Class Exemption 2015

ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844

ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2016/0688 (repealed 21/10/2024)

ASIC Corporations (Derivative Clearing Exemption) Instrument 2018/209

ASIC Derivative Transaction Rules (Reporting) Determination 2018/1096 (PDF - Excluded Derivative Determination)

ASIC Derivative Transaction Rules (ADI Foreign Subsidiaries) Class Exemption 2021/51 (repealed 21/10/2024)

ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705 (see 22-166MR and 22-250MR)

ASIC Regulated Foreign Markets Determination 2023/346

ASIC Derivative Transaction Rules (Reporting) Determination 2023/679

ASIC Corporations (Derivative Trade Repository Rules—DDRS) Instrument 2023/725

ASIC Derivative Transaction Rules (Clearing) Amendment Instrument 2023/726 (see REP 771)

Background

Home > Regulatory resources > Markets > OTC derivatives > Derivative transaction reporting

REP 770 Design and distribution obligations: Retail OTC derivatives (September 2023)

REP 726 Response to submissions on CP 353 Proposed amendments to the ASIC Derivative Transaction Rules (Clearing) 2015 (13 May 2022)

CP 361 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): Second consultation (16 May 2022) 

REP 755 Response to submissions on CP 361 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): Second consultation (20 December 2022)

CP 334 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): First consultation (1 July 2021)

Attachment to CP 334 (Word 146 KB)

Australian Central Bank Digital Currency Pilot Project (CDBC)

Corporations (CS Facility Exemption) Instrument 2023/18

ASIC Corporations (Superannuation Payment Facility) Instrument 2023/271

Background

Australian Central Bank Digital Currency Pilot Project website

Last updated: 01/11/2023 04:07