Financial markets

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Market supervision

RG 241 Electronic trading

REP 227 ASIC supervision of markets and participants: August to December 2010

REP 243 ASIC supervision of markets and participants: January to June 2011

REP 277 ASIC supervision of markets and participants: July to December 2011

REP 296 ASIC supervision of markets and participants: January to June 2012

REP 327 ASIC supervision of markets and participants: July to December 2012

REP 366 ASIC supervision of markets and participants: January to June 2013

REP 386 ASIC supervision of markets and participants: July to December 2013

REP 405 ASIC supervision of markets and participants: January to June 2014

REP 425 ASIC supervision of markets and participants: July to December 2014

REP 450 Market integrity report: 1 January to 31 June 2015

REP 475 Market integrity report: July to December 2015

REP 501 Market integrity report: January to August 2016

REP 524 Market integrity report: July to December 2016

REP 542 Market integrity report: January to June 2017

REP 619 Market integrity report: July to December 2018

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

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

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Markets Disciplinary Panel

RG 216 Markets Disciplinary Panel

RG 225 Markets Disciplinary Panel practices and procedures

REP 624 Response to submissions on CP 306 Markets Disciplinary Panel

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Market Integrity Rules

See also

ASIC > Regulatory resources > Markets > Market Integrity Rules

Market integrity rules for capital (*NEW* 16/6/2021)

See

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 (see also CP 302 and submissions)

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

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

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

REP 204 Response to submissions on CP 131 Proposed ASIC Market Integrity Rules: ASX and SFE markets

REP 238 Response to submissions on Consultation Paper 148 Proposed market integrity rules: Chi X market

REP 244 Response to submissions on CP 161 Proposed ASIC market integrity rules for capital and related requirements: ASX, ASX 24 and Chi-X markets

REP 257 Response to submissions on CP 166 Market integrity rules for non-AFS licensee foreign participants and consequential amendments

REP 311 Response to submissions on CP 179 and CP 184 Australian market structure: Draft market integrity rules and guidance

REP 343 Response to submissions on CP 195 Proposed amendments to ASIC market integrity rules: ASX 24 and FEX markets

REP 432 Response to submissions on CP 222 Reducing red tape: Proposed amendments to the market integrity rules

REP 453 Response to submissions on CP 235 Proposed amendments to ASIC market integrity rules for the Chi-X investment product market

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

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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

INFO 255 Activist short selling campaigns in Australia

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

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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)

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Market structure

INFO 177 Quarterly cash equity market data: Methodology and definitions

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Financial benchmarks

RG 268 Licensing regime for financial benchmark administrators

REP 440 Financial benchmarks

ASIC Corporations (Significant Financial Benchmarks) Instrument 2018/420

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Domestic Australian markets

See also

Regulatory index topic: Clearing and settlement facilities

Regulatory guides

RG 172 Financial markets: Domestic and overseas operators

RG 196 Short selling: Overview of s1020B

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 Market Integrity Rules (Securities Markets) Determination 2018/1131

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

Information sheets

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

See also

Regulatory index topic: Market supervision

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Overseas markets

See also

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

RG 172 Financial markets: Domestic and overseas operators

RG 72 Foreign securities prospectus relief

RG 163 Takeovers: Minimum bid price principle

RG 253 Fundraising: Facilitating offers of CHESS Depository Interests

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 04/829 US CFTC regulated financial services providers

CO 04/1313 Germany BaFin regulated financial service providers

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

CO 14/827 Offers of CHESS depository interests

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

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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

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Assessment reports

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Listed entities

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

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OTC derivatives

RG 249 Derivative trade repositories

RG 251 Derivative transaction reporting

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

ASIC Corporations (Derivative Transaction Clearing Exemption) Instrument 2016/258

ASIC Corporations (Derivative Clearing Exemption) Instrument 2018/209

REP 356 Response to submissions on CP 201: Derivative trade repositories

REP 357 Response to submissions on CP 205: Derivative transaction reporting

REP 359 Report on the Australian OTC Derivatives Market: July 2013

REP 422 Response to submissions on CP 221 Proposed amendments to ASIC Derivative Transaction Rules (Reporting) 2013

REP 460 Response to submissions on Consultation Paper 231 Mandatory central clearing of OTC interest rate derivative transactions

REP 482 Compliance review of the retail OTC derivatives sector

REP 579 Improving practices in the retail OTC derivatives sector

REP 626 Consumer detriment from OTC binary options and CFDs

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Last updated: 26/07/2021 10:13