Licensed market and clearing and settlement facility assessment reports

As part of the conditions of a granting a licence to operate a financial market or clearing and settlement facility, the licensee must supervise the market in accordance with Part 7.2 of the Corporations Act 2001 (Corporations Act).
 
Under the Corporations Act ASIC has the power to assess how well the operator of a market and/or clearing and settlement facility is complying with their obligations under the Corporations Act.
 
Our most recent report:

Sydney Stock Exchange Limited, March 2017


Find assessment reports for:

Domestic licensees

ASX Limited 

Australian Clearing House Pty Limited

ASX Settlement and Transfer Corporation Pty Limited

Austraclear Limited

BGC Partners (Australia) Pty Limited

Bloomberg Tradebook Australia Pty Ltd

Chi-X Australia Pty Ltd

EBS Service Company Limited

Golden Circle Limited (no longer licensed)

IMB Ltd

IR Plus Securities Exchange Ltd (formerly SIM Venture Securities Exchange Ltd and Bendigo Stock Exchange Limited

Mercari Pty Limited

National Stock Exchange of Australia Limited (formerly Stock Exchange of Newcastle Limited)

SFE Clearing Corporation Pty Ltd

Sydney Futures Exchange Limited

Sydney Stock Exchange Limited
(formerly Asia Pacific Stock Exchange Limited, Asia Pacific Exchange Limited and Australia Pacific Exchange Limited)

Yieldbroker Pty Limited

Overseas licensees

Board of Trade of the City of Chicago Inc

Chicago Mercantile Exchange, Inc

Eurex Frankfurt AG

ICAP Europe Limited (no longer licensed)

ICE Futures Europe

The London Metal Exchange Limited

Reuters Transaction Services Limited

Asia Pacific Exchange Limited

See Sydney Stock Exchange Limited


Asia Pacific Stock Exchange Limited

See Sydney Stock Exchange Limited


ASX Futures Exchange Limited

No longer licensed.
See ASX Limited


 

ASX Settlement and Transfer Corporation Pty Limited

See ASX Limited


 

ASX Limited

Formerly Australian Stock Exchange Limited.
Includes ASX Futures Exchange Limited (until licence cancelled 2004), Australian Clearing House Pty Limited (formerly known as Options Clearing House Pty Ltd), ASX Settlement and Transfer Corporation Pty Limited, Austraclear Limited.

From 2008 onwards also includes Sydney Futures Exchange Ltd and SFE Clearing Corporation Pty Ltd. See Earlier SFE reports


Austraclear Limited

See ASX Limited


Australia Pacific Exchange Limited

See Sydney Stock Exchange Limited


Australian Clearing House Pty Limited

See ASX Limited


Australian Stock Exchange Limited

See ASX Limited


Bendigo Stock Exchange Limited (now IR Plus Securities Exchange Ltd)

Included in National Stock Exchange of Australia Limited reports from November 2009.


 

BGC Partners (Australia) Pty Limited 


 

Bloomberg Tradebook Australia Pty Ltd


 

Board of Trade of the City of Chicago Inc


 

Chicago Mercantile Exchange, Inc


 

Chi-X Australia Pty Ltd 


 

EBS Service Company Limited 


 

Eurex Frankfurt AG 


 

Golden Circle Limited

No longer licensed.


 

ICAP Europe Ltd

No longer licensed.


 

ICE Futures Europe 


IR Plus Securities Exchange Ltd

Formerly SIM Venture Securities Exchange Ltd and Bendigo Stock Exchange Limited


 

IMB Ltd 


 

The London Metal Exchange Limited


 

Mercari Pty Limited 


 

National Stock Exchange of Australia Limited

Formerly Stock Exchange of Newcastle Limited.
Includes SIM Venture Securities Exchange Ltd (now IR Plus Securities Exchange Ltd) from November 2009.

(The 2003 assessment report for the Stock Exchange of Newcastle is not available.)


 

Reuters Transaction Services Limited 


SFE Clearing Corporation Pty Limited

See Sydney Futures Exchange Limited


Stock Exchange of Newcastle Limited

See National Stock Exchange of Australia Limited


 

Sydney Futures Exchange Limited

Includes SFE Clearing Corporation Pty Ltd and Austraclear Limited.
Assessment reports from 2008 onwards appear under ASX Limited.


Sydney Stock Exchange Limited

Formerly Asia Pacific Stock Exchange Limited, Asia Pacific Exchange Limited and Australia Pacific Exchange Limited.


 

Yieldbroker Pty Limited

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Last updated: 21/08/2009 12:00