Market integrity rules

ASIC market integrity rules for market operators and participants.

The following market integrity rules apply to certain market operators and their participants.

Market integrity rules on this page:

We also publish monthly Regulatory document update tables, which include updates to regulatory documents not notified in media releases. 

Securities markets

ASX, Chi-X, NSXA, SSX and their participants must comply with a common set of market integrity rules for securities markets.

Market integrity rules

ASIC Market Integrity Rules (Securities Markets) 2017

ASIC Market Integrity Rules (Securities Markets – Capital) 2017

Guidance

Regulatory Guide 265 Guidance on ASIC market
integrity rules for participants of securities markets

Determinations

ASIC Market Integrity Rules (Securities Markets) Determination 2018/208

ASIC Market Integrity Rules (Securities Markets) Determination 2018/314

ASIC Market Integrity Rules (Securities Markets) Determination 2018/317

ASIC Market Integrity Rules (Securities Markets) Determination 2021/135

ASIC Market Integrity Rules (Securities Markets) Determination 2021/509

Waivers

Waivers – Securities Markets

Consultation

Consultation Paper 302 Proposed changes to ASIC’s capital requirements for market participants

Consultation Paper 277 Proposals to consolidate the ASIC market integrity rules

Report 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules

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Futures markets

ASX 24, FEX and their participants must comply with a common set of market integrity rules for futures markets.

Market integrity rules

ASIC Market Integrity Rules (Futures Markets) 2017

ASIC Market Integrity Rules (Futures Markets – Capital) 2017

Guidance

Regulatory Guide 266 Guidance on ASIC market integrity rules for participants of futures markets

Determinations

ASIC Market Integrity Rules (Futures Markets) Determination 2018/315

Waivers

Waivers – Futures Markets

Consultation

Consultation Paper 302 Proposed changes to ASIC’s capital requirements for market participants

Consultation Paper 277 Proposals to consolidate the ASIC market integrity rules

Report 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules

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Capital

ASIC has made changes to the capital requirements for market participants. We have created a common set of capital market integrity rules for securities and futures market participants.

From 17 June 2022, participants of the ASX, Chi-X, NSXA, SSX, ASX 24 and FEX markets must comply with the ASIC Market Integrity Rules (Capital) 2021.

Until then, securities market participants must comply with the ASIC Market Integrity Rules (Securities Markets – Capital) 2017, and futures market participants must comply with the ASIC Market Integrity Rules (Futures Markets – Capital) 2017.

Exemptions to requirements contained within the Capital Rules apply to clearing participants of an approved clearing facility, authorised deposit taking institutions and principal traders only.

Participants may choose to opt-in to the ASIC Market Integrity Rules (Capital) 2021 before 17 June 2022 by notifying ASIC. Once a participant opts in, they must lodge returns through the ASIC Regulatory Portal.

Market integrity rules

ASIC Market Integrity Rules (Capital) 2021

Waivers

Waivers – Capital

Consultation

Consultation Paper 302 Proposed changes to ASIC’s capital requirements for market participants

Report 692 Response to submissions on CP 302 Proposed changes to ASIC’s capital requirements for market participants

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IMB

Market integrity rules

ASIC Market Integrity Rules (IMB Market) 2010

Guidance

Regulatory Guide 265 Guidance on ASIC market integrity rules for participants of securities markets

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Report suspicious activity

If you are a market participant and you see or suspect market misconduct you must notify ASIC

Lodge a suspicious activity report

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For the latest regulatory developments and issues affecting market intermediaries subscribe to our monthly Market Integrity Update.

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Last updated: 19/07/2021 10:20