Apply for a waiver from ASIC market integrity rules

This transaction is for a market participant or market licensee to apply for a waiver from ASIC market integrity rules. We recommend that applicants discuss the nature of the waiver they are seeking with their relevant ASIC Intermediary Supervisor, before they complete the application. In the transaction we will ask you to:

  • provide details of all entities applying for a waiver
  • provide details of any third parties whose interests would be adversely affected by the granting of a waiver
  • indicate the market sensitivity of the application
  • indicate the urgency of the application, including start date of the waiver and duration
  • indicate the regulatory issue the waiver application relates to
  • indicate the specific market integrity rule for which the waiver is sought – you can select multiple market integrity rules
  • provide details of why you are applying for a waiver, and
  • attach, if required, any supporting documents for the application.

Shown below are some of the questions and some of the functionality you can expect from this transaction in the portal. This overview does not show every aspect of the transaction.

Early in the transaction, there are questions relating to market sensitivity, urgency, and estimated savings if the waiver is granted.

Waiver 1

Waiver 2

You can then choose the related regulatory issue from a pick list.

Waiver 3

You can select legislative references related to the waiver application from pick lists. The options are automatically updated depending on the selections you make. You can add multiple references to legislation in your application.

Waiver 4

There is a free text field where you will add a brief explanation of why you are applying for a waiver from ASIC market integrity rules.

Waiver 5

Last updated: 30/03/2021 09:23