| Exempted entity | Description of exempted activity |
BGC Brokers LP  | Operation of a market in credit derivatives, foreign exchange options and interest rate derivatives. Date of gazettal 14 December 2010. For more information go to www.bgcpartners.com |
| 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 |
| FX Alliance International LLC
| Operation of a market in foreign exchange contracts and derivatives in relation to foreign exchange contracts Participants must be as described in the exemption Date of gazettal 31 March 2006 For more information go to www.fxall.com |
| 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 markets known as ETC and Volbroker (Exemption notice 2004) Date of gazettal 9 March 2004 Deletion of Volbroker market (Exemption notice 2010) Date of gazettal 2 March 2010 For more information go to www.icap.com |
| 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 |
| 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 |
| 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 |
| 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 For more information go to www.sydneyivf.com |
| Terrey Hills Golf & Country Club Holdings Limited | Operation of a note transfer facility - Date of gazettal 18 January 2005. Termination of exemption 30 January 2011. Operation of a note and share transfer facility - Date of gazettal 2 August 2011. For more information go to www.terreyhillsgolf.com.au |
| TFS Australia Pty Limited | Operation of a market in foreign exchange options Date of gazettal 2 March 2010 For more information go to www.tfsbrokers.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 |
| 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 |
| Vyapar Capital Market Partners (UK) Limited | Operation of a market in credit derivatives Date of gazettal 22 February 2010 For more information go to www.vcmpartners.com |
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| Various - class exemptions under s791C | Description 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 373KB) | 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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