Road map - financial markets

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Topic

Market supervision
- Markets Disciplinary Panel
- Market Integrity Rules
- Short selling
- High-frequency trading
- Market structure
Domestic Australian markets
Overseas markets
Exemptions
Assessment reports
- Asia Pacific Exchange Limited (formerly Australian Pacific Exchange Limited)
- Australian Stock Exchange Limited/ ASX Futures Exchange Limited
- Bendigo Stock Exchange Limited
- Board of Trade of the City of Chicago Inc
- Chicago Mercantile Exchange Inc
- EBS Service Company Limited

Assessment reports- continued
- Eurex Frankfurt AG
- Golden Circle Limited
- ICAP Europe Limited
- IMB Ltd
- London Metal Exchange Limited
- Mercari Pty Limited
- Reuters Transaction Services Limited
- Stock Exchange of Newcastle Limited
- Sydney Futures Exchange Limited/SFE Corporation Limited
- Yieldbroker Pty Limited
Listed entities
- Continuous disclosure

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

Markets Disciplinary Panel
RG 216 Markets Disciplinary Panel
RG 225 Markets Disciplinary Panel practices and procedures

Market Integrity Rules
ASIC Market Integrity Rules (ASX Market) 2010
ASIC Market Integrity Rules (ASX 24 Market) 2010
ASIC Market Integrity Rules (APX Market) 2010
ASIC Market Integrity Rules (IMB Market) 2010
ASIC Market Integrity Rules (NSXA Market) 2010
ASIC Market Integrity Rules (SIM VSE Market) 2010
ASIC Market Integrity Rules (Chi-X Australia Market) 2011
ASIC Market Integrity Rules (Competition in Exchange Markets) 2011
RG 238 Suspicious activity reporting
RG 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX and ASX 24 markets
RG 223 Guidance on ASIC market integrity rules for competition in exchange markets
RG 224 Guidance on ASIC market integrity rules for Chi-X market
RG 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets
RG 215 Guidance on ASIC market integrity rules for APX, IMB, NSXA and SIM VSE markets
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

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
[CO 10/288] Covered short sale transaction reporting relief for market makers
[CO 10/135] Relief for small short positions
[CO 10/29] Short position reporting regime postponement and clarification
[CO 10/111] Short selling: limited relief for deferred purchase agreement issuers from s1020B(2)
[CO 09/774] Naked short selling relief for market makers
[CO 09/1051] Short selling relief: Exchange traded options, unobtained financial products and certain bonds and debentures
[CO 08/764] Short selling - exercise of exchange-traded options 23 September 2008

High-frequency trading
REP 331 Dark liquidity and high-frequency trading
INFO 178 Dark liquidity and high-frequency trading

Market structure
INFO 177 Quarterly cash equity market data: Methodology and definitions

Domestic Australian markets

See also Clearing and settlement facilities
RG 172 Australian market licences: Australian operators
RG 196 Short selling: Overview of s1020B
REP 83 Small and mid-cap miners study
CO 99/675 Sydney Futures Exchange — managed discretionary accounts
[CO 00/2451] Electronic lodgment of certain reports with the ASX - approval
[CO 00/2449] /asic/pdflib.nsf/LookupByFileName/132.pdf/$file/132.pdfASX Electronic Lodgment Facility - relief from paper form lodgment
CO 01/15 Sydney Futures Exchange — participant's relevant interest and voting power
[CO 02/1022] Sydney Futures Exchange Limited — operation of managed discretionary accounts by associate participants
[CO 02/138] Announcements to financial markets by holding companies about financial products (other than securities) issued by subsidiaries
[CO 02/313] Part 7.11 — Transfers of securities under Division 3
[CO 03/826] Market related records: Australian financial services licensees dealing on overseas markets
[CO 03/957] ASX managed investment warrants — disclosure and reporting exemptions
[CO 03/965] Sydney Futures Exchange — extension of the definition of "member" of a futures organisation
[CO 06/682] Multiple derivative issuers
[CO 08/751] Covered short sales
[CO 08/764] Short selling—exercise of exchange traded options
[CO 09/1051] Short selling relief: Exchange traded options, unobtained financial products and certain bonds and debentures
REP 158 Survey of the OTC derivatives market in Australia
REP 309 Report on the Australian OTC Derivatives Market – October 2012
INFO 95 Requirements for disclosure and reporting of short sales from 19 November 2008

See also Market supervision

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Overseas markets

See also Fundraising: foreign disclosure documents - mutual recognition
RG 177 Australian market licences: Overseas operators
RG 72 Foreign securities prospectus relief
RG 163 Takeovers: Minimum bid price principle
CO 00/185 Foreign securities
CO 00/214 Foreign securities: listed foreign companies making 20 or fewer offers in Australia in 12 months
CO 02/249 Approved overseas financial markets: s257B(7)
CO 02/259 Downstream acquisitions: foreign stock markets
CO 02/263 Foreign interests in a managed investment scheme traded on an approved foreign exchange: 20 or fewer offers in Australia in 12 months
CO 02/284 CHESS-approved foreign securities
CO 02/311 CHESS Depositary Nominees Pty Ltd — CDIs
CO 04/10 Statement of Advice relief for certain products able to be traded on an approved foreign market
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
REP 134

Enhancing capital flows into and out of Australia

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Exemptions

CO 03/578 Financial Services Guide exemption for market making services on a licensed market
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 04/1570 Licensing relief for some overseas dealers or market makers in derivatives and foreign exchange contracts

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Assessment reports

Asia Pacific Exchange Limited (formerly Australian Pacific Exchange Limited)
REP 61 Market assessment report: Australian Pacific Exchange Limited (November 2005)
REP 90 Market assessment report: Australian Pacific Exchange Limited (February 2007)
REP 116 Market assessment report: Australian Pacific Exchange Limited (March 2008)
REP 154 Market assessment report: Asia Pacific Exchange Limited (April 2009)
REP 166 Market assessment report: Australian Pacific Exchange Limited (August 2009)
REP 199 Market assessment report: Australian Pacific Exchange Limited (June 2010)
REP 239 Market assessment report: Australian Pacific Exchange Limited (May 2011)
REP 307 Market assessment report: Australian Pacific Exchange Limited (September 2012)

ASX Limited/Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited/Sydney Futures Exchange Limited/SFE Clearing Corporation Pty Limited/Austraclear Limited
REP 135 Market Assessment Report: ASX Limited/Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited/Sydney Futures Exchange Limited/SFE Clearing Corporation Pty Limited/Austraclear Limited (August 2008)
REP 168 Market Assessment Report: ASX Limited/Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited/Sydney Futures Exchange Limited/SFE Clearing Corporation Pty Limited/Austraclear Limited (August 2009)
REP 222 Market Assessment Report: ASX group ( November 2010)
REP 265 Market assessment report: ASX group (November 2011)
REP 289 Market assessment report: ASX group (July 2012)

Australian Stock Exchange Limited/ ASX Futures Exchange Limited
REP 25 Market assessment report: Australian Stock Exchange Limited/ ASX Futures Exchange Limited (June 2003)
REP 32 Market assessment report: Australian Stock Exchange Limited/ASX Futures Exchange Limited (August 2004)
REP 46 Market assessment report: Australian Stock Exchange Limited (June 2005)
REP 68 Market assessment report: Australian Stock Exchange Limited (February 2006)

BGC Partners Australia Pty Limited
REP 120 Market assessment report: BGC Partners Australia Pty Limited (March 2008)
REP 172 Market assessment report: BGC Partners (Australia) Pty Limited (September 2009)
REP 183 Market assessment report: BGC Partners (Australia) Pty Limited (January 2010)
REP 232 Market assessment report: BGC Partners (Australia) Pty Limited (March 2011)
REP 295 Market assessment report: BGC Partners (Australia) Pty Limited (July 2012)

Bendigo Stock Exchange Limited
REP 35 Market assessment report: Bendigo Stock Exchange Limited (November 2004)
REP 47 Market assessment report: Bendigo Stock Exchange Limited (July 2005)
REP 141 Market assessment report: Bendigo Stock Exchange Limited (2006)
REP 151 Market assessment report: Bendigo Stock Exchange Limited (2008)
Included in National Stock Exchange of Australia Limited reports from November 2009.

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Bloomberg Tradebook Australia Pty Ltd
REP 115 Market assessment report: Bloomberg Tradebook Australia Pty Ltd (March 2008)
REP 164 Market assessment report: Bloomberg Tradebook Australia Pty Ltd (July 2009)
REP 187 Market assessment report: Bloomberg Tradebook Australia Pty Ltd (January 2010)
REP 221 Market assessment report: Bloomberg Tradebook Australia Pty Ltd (October 2010)
REP 284 Market assessment report: Bloomberg Tradebook Australia Pty Ltd (May 2012)
REP 312 Market assessment report: Bloomberg Tradebook Australia Pty Ltd (October 2012)

Board of Trade of the City of Chicago Inc
REP 92 Market assessment report: Board of Trade of the City of Chicago Inc (February 2007)
REP 103 Market assessment report: Board of Trade of the City of Chicago Inc (March 2008)
REP 145 Market assessment report: Board of Trade of the City of Chicago Inc (December 2008)
REP 188 Market assessment report: CME Group Inc. (January 2010)
REP 220 Market assessment report: CME Group Inc. (October 2010)
REP 253 Market assessment report: Board of Trade of the City of Chicago Inc and Chicago Mercantile Exchange Inc (September 2011)
REP 321 Market assessment report: Board of Trade of the City of Chicago Inc and Chicago Mercantile Exchange Inc (December 2012)

Chicago Mercantile Exchange Inc
REP 52 Market assessment report: Chicago Mercantile Exchange Inc (July 2005)
REP 72 Market assessment report: Chicago Mercantile Exchange Inc (May 2006)
REP 93 Market assessment report: Chicago Mercantile Exchange Inc (March 2007)
REP 102 Market assessment report: Chicago Mercantile Exchange Inc (March 2008)
REP 144 Market assessment report: Chicago Mercantile Exchange Inc (December 2008)
REP 188 Market assessment report: CME Group Inc. (January 2010)
REP 220 Market assessment report: CME Group Inc. (October 2010)
REP 253 Market assessment report: Board of Trade of the City of Chicago Inc and Chicago Mercantile Exchange Inc (September 2011)
REP 321 Market assessment report: Board of Trade of the City of Chicago Inc and Chicago Mercantile Exchange Inc (December 2012)

Chi-X Australia Pty Ltd
REP 315 Market assessment report: Chi-X Australia Pty Ltd

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EBS Service Company Limited
REP 73 Market assessment report: EBS Service Company Limited (May 2006)
REP 104 Market assessment report: EBS Service Company Limited (October 2007)
REP 161 Market assessment report: EBS Service Company Limited (June 2009)
REP 190 Market assessment report: EBS Service Company Limited (January 2010
REP 211 Market assessment report: EBS Service Company Limited (July 2010)

Eurex Frankfurt AG
REP 48 Market assessment report: Eurex Frankfurt AG (July 2005)
REP 74 Market assessment report: Eurex Frankfurt AG (May 2006)
REP 96 Market assessment report: Eurex Frankfurt AG (June 2007)
REP 146 Market assessment report: Eurex Frankfurt AG (December 2008)
REP 169 Market assessment report: Eurex Frankfurt AG (September 2009)
REP 212 Market assessment report: Eurex Frankfurt AG (July 2010)
REP 306 Market assessment report: Eurex Frankfurt AG (September 2012)

Golden Circle Limited
REP 43 Market assessment report: Golden Circle Limited (June 2005)
REP 98 Market assessment report: Golden Circle Limited (August 2007)
REP 117 Market assessment report: Golden Circle Limited (May 2008)
REP 136 Market assessment report: Golden Circle Limited (August 2008) Final report.

ICAP Europe Limited
REP 44 Market assessment report: ICAP Europe Limited (June 2005)
REP 70 Market assessment report: ICAP Europe Limited (February 2006)
REP 91 Market assessment report: ICAP Europe Limited (February 2007) No longer licensed.

ICE Futures Europe
REP 248 Market assessment report: ICE Futures Europe (August 2011)
REP 304 Market assessment report: ICE Futures Europe (October 2012)

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IMB Ltd
REP 86 Market assessment report: IMB Ltd (October 2006)
REP 100 Market assessment report: IMB Ltd (September 2007)
REP 148 Market assessment report: IMB Ltd (February 2009)
REP 171 Market assessment report: IMB Ltd (August 2009)
REP 208 Market assessment report: IMB Ltd (June 2010)
REP 249 Market assessment report: IMB Ltd (August 2011)
REP 323 Market assessment report: IMB Ltd (October 2012)

London Metal Exhange Limited
REP 147 Market assessment report: London Metal Exchange Limited (December 2008)
REP 170 Market assessment report: London Metal Exchange Limited (August 2009)
REP 209 Market assessment report: London Metal Exchange Limited (June 2010)
REP 250 Market assessment report: London Metal Exchange Limited (August 2011)
REP 305 Market assessment report: London Metal Exchange Limited (October 2012)

Mercari Pty Limited
REP 80 Market assessment report: Mercari Pty Limited (August 2006)
REP 105 Market assessment report: Mercari Pty Limited (October 2007)
REP 149 Market assessment report: Mercari Pty Limited ( February 2009)
REP 165 Market assessment report: Mercari Pty Limited (August 2009)
REP 198 Market assessment report: Mercari Pty Limited (April 2010)
REP 231 Market assessment report: Mercari Pty Limited (March 2011)
REP 294 Market assessment report: Mercari Pty Limited (July 2012)
REP 335 Market assessment report: Mercari Pty Limited (March 2013)

National Stock Exchange of Australia Limited (Stock Exchange of Newcastle Limited)
REP 36 Market assessment report: Stock Exchange of Newcastle Limited (December 2004)
REP 41 Market assessment report: Stock Exchange of Newcastle Limited (June 2005)
REP 82 Market assessment report: Stock Exchange of Newcastle (September 2006)
REP 118 Market assessment report: National Stock Exchange of Australia Limited (March 2008)
REP 157 Market assessment report: National Stock Exchange of Australia Limited (April 2009)
REP 175 Market assessment report: National Stock Exchange of Australia Limited (November 2009)
REP 206 Market assessment report: National Stock Exchange of Australia Limited (June 2010)
REP 260 Market assessment report: NSX Ltd group (October 2011)
REP 326 Market assessment report: NSX Ltd Group (February 2013)

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Reuters Transaction Services Limited
REP 64 Market assessment report: Reuters Transaction Services Limited (November 2005)
REP 85 Market assessment report: Reuters Transaction Services Limited (September 2006)
REP 101 Market assessment report: Reuters Transaction Services Limited (March 2008)
REP 153 Market assessment report: Reuters Transaction Services Limited (February 2009)
REP 181 Market assessment report: Reuters Transaction Services Limited (November 2009)
REP 219 Market assessment report: Reuters Transaction Services Limited (October 2010)
REP 255 Market assessment report: Reuters Transaction Services Limited (October 2011)
REP 314 Market assessment report: Reuters Transaction Services Limited (November 2012)

Sydney Futures Exchange Limited/SFE Corporation Limited
REP 26 Market assessment report: Sydney Futures Exchange Limited/SFE Corporation Limited (November 2003)
REP 40 Market assessment report: Sydney Futures Exchange Limited (April 2005)
REP 56 Market assessment report: SFE Corporation Limited (August 2005)
REP 62 Market assessment report: Sydney Futures Exchange Limited (November 2005)
REP 75 Market assessment report: Sydney Futures Exchange Limited (May 2006)
REP 99 Market assessment report: Sydney Futures Exchange , SFE Clearing Corporation Limited, Austraclear (Nov 2007)
Assessment reports from 2008 onwards appear under ASX Limited.

Yieldbroker Pty Limited
REP 45 Market assessment report: Yieldbroker Pty Limited (June 2005)
REP 60 Market assessment report: Yieldbroker Pty Limited (October 2005)
REP 87 Market assessment report: Yieldbroker Pty Limited (November 2006)
REP 114 Market assessment report: Yieldbroker Pty Limited (March 2008)
REP 163 Market assessment report: Yieldbroker Pty Limited (July 2009)
REP 189 Market assessment report: Yieldbroker Pty Limited (January 2010)
REP 228 Market assessment report: Yieldbroker Pty Limited (January 2011)
REP 267 Market assessment report: Yieldbroker Pty Limited (November 2011)
REP 333 Market assessment report: Yieldbroker Pty Limited (March 2013)

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Listed entities

RG 193 Notification of directors' interests in securities—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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