Exempt markets

Listed below are the facilities that have been exempted by the Minister from the markets licensing provisions in accordance with Chapter 7 of the Corporations Act.

You can download a PDF version of the exemption instrument for each facility listed.

We will add to this list when new exemptions are approved. Exemptions are effective from the date of gazettal or at a later date specified by the Minister.

See also previous exemption instruments that have been superseded by new instruments or are no longer effective.

Exempted entity Description of exempted activity

ASX Settlement Pty Limited

Operation of the managed investment scheme application and settlement service known as 'mFund'.

Date of gazettal 7 January 2014

BrokerTec Europe Limited

Operation of a market in eligible financial products described in clause 8 of the exemption notice.

Date of gazettal 5 January 2016.

For more information go to www.brokertec.com

Tri-Optima AB

Operation of a market in credit derivatives and interest rate derivatives.

Date of gazettal 12 March 2013

Variation of exemption gazetted 10 May 2016 to permit trading of FX forwards

For more information go to www.trioptima.com

Various - class exemptions under s791C Description of exempted activity

Corporations (Low Volume Financial Markets) Instrument 2016/888

Register of entities: Low volume financial markets (PDF 878 KB)

Operation of a low volume financial market for certain kinds of financial products. To be eligible for the exemption, an entity operating a low volume financial market must be included on the register for that market. See licensing relief for low volume financial markets.

Entities seeking to have their name included on the register should contact:

Manager Licensing
Registry Services & Licensing
Australian Securities & Investment Commission
PO Box 4000
Gippsland Mail Centre
Traralgon 3841
creditlicensing@asic.gov.au

 

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Last updated: 27/11/2014 12:00