Exempt facilities operating in Australia - previous exemptions

Listed below are previous exemption instruments that have been superseded by new instruments or no longer effective.

See current listing of exemption instruments

Exempted entityDescription of previous exemption

360 Trading Networks Inc.

Operation of a market in foreign exchange non-deliverable forwards, non-deliverable swaps and options.

Date of gazettal 31 March 2017

Date of revocation 27 June 2019

Download 2019 revocation notice

360 Treasury Systems AG

Operation of a market in spot foreign exchange, foreign exchange derivatives, interest rate derivatives and deposit-taking facilities.

Date of gazettal 26 February 2013

Date of revocation 25 July 2019

Download revoked 2013 exemption notice

Download revoked 2016 variation notice

Download revoked 2017 variation notice

Download 2019 revocation notice

BGC Brokers LP

Operation of a market in credit derivatives, foreign exchange options and interest rate derivatives.

Date of gazettal 14 December 2010

Download previous 2010 exemption notice

BGC Brokers LP

Operation of a market in credit derivatives, foreign exchange options and interest rate derivatives.

Date of gazettal 28 August 2012

Download revoked 2012 exemption notice

Download 2019 revocation notice

Bloomberg SEF LLC

Operation of a market in eligible financial products described in clause 9 of the exemption notice

Date of gazettal 31 March 2017

Date of revocation 1 March 2019

Download 2019 revocation notice

Creditex Brokerage LLP

Operation of a market in credit derivatives and bonds

Date of gazettal 22 February 2010

Date of revocation 29 August 2019

For more information go to www.creditex.com

Currenex Inc

Operation of a market in spot metals, spot foreign exchange, foreign exchange derivatives and metals derivatives.

Date of gazettal 12 April 2011

Date of revocation 15 January 2020

Download revoked 2011 exemption notice

Download 2020 revocation notice

EBS Service Company Limited

Operation of a market in spot and derivatives, for both foreign exchange and metals

Date of gazettal 2 March 2010

Date of revocation 25 July 2019

Download revoked 2010 exemption notice

Download 2019 revocation notice

EquiLend LLC

Operation of a market for the lending and borrowing of securities, corporate and government bonds, interests in managed investment schemes and a limited range of derivatives.

Date of gazettal 7 October 2014

Date of revocation 4 July 2019

Download revoked 2014 exemption notice

Download 2019 revocation notice

FX Alliance International LLC

 

 

Operation of a market in foreign exchange contracts and derivatives in relation to foreign exchange contracts

Participants must be as described in the exemption

Date of gazettal 31 March 2006

Download revoked 2006 exemption notice
Download revoked 2008 variation notice
Download revoked 2009 variation notice
Download 2014 revocation notice

Genea Limited (formerly Sydney IVF Limited)

Operation of a pre-emption rights by tender market in Sydney IVF Limited shares and options in ordinary unissued Sydney IVF Limited shares. Date of gazettal 4 December 2007

Variation to change name to Genea Limited

Date of gazettal 9 April 2013

Date of revocation 29 June 2017, effective 30 June 2017

Download revoked 2010 Exemption Notice

Download revoked 2010 variation notice

Download 2017 revocation notice.

GFI Brokers Limited

Operation of a market in foreign exchange options and credit default swaps.

Date of gazettal 4 December 2007

Variation to include the trading of bonds and metal options

Date of gazettal 2 March 2010

Date of revocation 27 June 2017 (date of gazettal)

Download revoked 2007 exemption notice
Download revoked 2010 variation notice
Download 2017 revocation notice

GFI Group Pte Ltd

Operation of a financial market in interest rate derivatives

Date of gazettal 26 July 2011

Variation to the number and type of products that may be traded under the exemption

Date of gazettal 6 January 2015

Date of revocation 21 January 2020

Download revoked 2011 exemption notice

Download revoked 2015 variation notice

Download 2020 revocation notice

ICAP Brokers Pty Ltd

Operation of the markets known as ETC and Volbroker

Date of gazettal 9 March 2004

Download previous 2004 exemption notice

ICAP Brokers Pty Ltd

Operation of the ETC market in corporate bonds, New Zealand government bonds, credit derivatives and interest rate derivatives.

Date of gazettal 2 March 2010

Download revoked 2010 exemption notice

Download revoked 2013 variation notice

Download 2019 revocation notice

ICAP Energy AS

Operation of a market in European electricity derivatives.

Date of gazettal 14 March 2017

Date of revocation 17 July 2017

Download revoked 2017 exemption notice
Download 2017 revocation notice

ICAP Europe Limited

Operation of a market in foreign exchange forwards

Date of gazettal 16 February 2010

Date of revocation 17 July 2017

Download revoked 2010 exemption notice
Download 2017 revocation notice

ICAP Financial Products Pte Ltd

Operation of a financial market in iron ore and coal derivatives

Date of gazettal 30 August 2016

Date of revocation 17 July 2017

Download revoked 2016 exemption
Download 2017 revocation notice

ICAP Global Derivatives Limited

Operation of a market in certain interest rate derivatives 

Date of gazettal 18 April 2017

Date of revocation 17 July 2017

Download revoked 2017 exemption
Download 2017 revocation notice

ICAP Securities Ltd

Operation of a market in credit derivatives

Date of gazettal 18 May 2010

Date of revocation 17 July 2017

Variation notice gazetted 26 July 2011 to permit trading of interest rate derivatives.

Download revoked 2010 exemption notice
Download 2017 revocation notice

i-Swap AUD NZD Pty Ltd

Operation of a market in interest rate derivatives.

Date of gazettal 12 March 2013

Date of revocation 6 September 2016

Download revoked 2013 exemption notice

Download 2016 revocation notice

Integral Development Corp.

Operation of a market in FX swaps and forwards.

Date of gazettal 25 November 2014

Date of revocation 30 July 2019

Download revoked 2014 exemption notice

Download 2019 revocation notice

LMAX Limited

Operation of a market in spot foreign exchange products

Date of gazettal 26 July 2016

Date of revocation 25 January 2019

Download revoked 2016 exemption notice

Download 2019 revocation notice

MMADX Pty Ltd

Permits trading of bonds, interest rate derivatives and deposit-taking facilities.

Date of gazettal 18 September 2012.

Date of revocation 24 December 2013

Download revoked 2012 exemption notice

Download 2013 revocation notice

National Golf Holdings Limited

Operation of a share trading facility

Date of gazettal 19 July 2005

Date of revocation 30 June 2017

Download previous 2005 exemption notice

Download 2017 revocation notice

OTCX Trading Limited

Operation of a market in over-the-counter interest rate and equity derivatives

Date of gazettal 4 October 2016

Download revoked 2016 exemption notice

Download revoked 2019 variation notice

Download 2019 revocation notice

ParFX (UK) Ltd

Operation of a market in spot foreign exchange contracts

Date of gazettal 11 February 2014

Date of revocation 27 June 2017 (date of gazettal).

Download revoked 2014 exemption notice

Download 2017 revocation notice

Refinitiv US SEF LLC

Operation of a market in foreign exchange derivative non-deliverable forwards and options.

Date of gazettal 31 March 2017

Variation of exemption gazetted 9 April 2019 to reflect name change.

This exemption ceased to apply on 1 July 2019.

State Street Bank and Trust Company

Operation of a market in spot foreign exchange and foreign exchange derivatives.

Date of gazettal 10 March 2004

Date of revocation 15 January 2020

Download revoked 2004 exemption notice

Download 2020 revocation notice

SwapEx, LLC

Operation of a market in foreign exchange non-deliverable forwards

Date of gazettal 31 March 2017

Variation of exemption effective 27 June 2019 to extend the cessation date to 1 January 2020

Download revoked 2017 exemption notice

Download revoked 2019 variation notice

Download 2019 revocation notice 

Terrey Hills Golf & Country Club Holdings Limited

Operation of a note transfer facility

Date of gazettal 18 January 2005

Termination of exemption 30 January 2011

Date of revocation 30 June 2017

Download previous 2005 exemption notice

Download 2017 revocation notice

TFS Australia Pty Ltd

Operation of a market in foreign exchange options

Date of gazettal 2 March 2010

Date of revocation 24 December 2013

Download revoked 2010 exemption notice

Download 2013 revocation notice

TFS ICAP Ltd

Operation of a market in foreign exchange options

Date of gazettal 24 December 2013

Variation of exemption effective 3 January 2018 to allow the operation of an OTF in place of an MTF

Date of revocation 22 June 2018

Download revoked 2013 exemption notice

Download 2018 revocation notice

TradeWeb Europe Limited

Operation of a market in fixed-income products

Date of gazettal 18 September 2007

Date of revocation 27 June 2019

Download revoked 2007 exemption notice

Download 2019 revocation
notice

trueEX LLC

Operation of a market in interest rates swaps.

Date of gazettal 27 June 2017

Date of revocation 13 September 2018

Download revoked 2017 exemption notice

Download 2018 revocation notice

Tullett Prebon (Singapore) Limited

Operation of a market in foreign exchange options

Date of gazettal 18 September 2007

Variation of exemption gazetted 16 February 2010 to permit trading of metals options

Date of revocation 1 February 2018

Tullett Prebon Australia Pty Ltd

Operation of a market in bonds, credit derivatives, interest rate derivatives and foreign exchange forwards

Date of gazettal 18 May 2010

Download revoked 2010 exemption notice

Download revoked 2011 variation notice

Download 2019 revocation notice

TW SEF LLC

Operation of a market in credit default swaps and interest rate swaps

Date of gazettal 31 March 2017

Variation of exemption effective 27 June 2019 to extend the cessation date to 1 January 2020.

Variation of exemption effective 19 December 2019 to extend the cessation date to 1 April 2020.

Variation of exemption effective 29 March 2020 to extend the cessation date to 1 July 2020.

Date of revocation 6 May 2020

Download revoked June 2019 variation notice

Download revoked December 2019 variation notice

Download revoked 2020 variation notice

Download 2020 revocation notice

Vyapar Capital Market Partners (UK) Limited

Operation of a market in credit derivatives

Date of gazettal 22 February 2010

Download previous 2010 exemption

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Last updated: 14/01/2014 12:00