RG 172 Australian market licences: Australian operators

Issued 6 March 2002

This guide outlines ASIC’s role in and approach to financial market regulation under the Corporations Act 2001. It deals with financial markets operating in Australia, with particular focus on Australian operators.

Note (September 2013): This regulatory guide has not been updated since March 2002, except for the addition of an addendum on market licensee systems and controls in November 2012: see page A-1.

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Last updated: 24/09/2013 12:00