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:
ASX Limited - exchange traded AQUA products 11 December 2019
Find assessment reports for:
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Domestic licensees Australian Clearing House Pty Limited ASX Settlement and Transfer Corporation Pty Limited BGC Partners (Australia) Pty Limited Bloomberg Tradebook Australia Pty Ltd Golden Circle Limited (no longer licensed) IR Plus Securities Exchange Ltd (formerly SIM Venture Securities Exchange Ltd and Bendigo Stock Exchange 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 Overseas licensees Board of Trade of the City of Chicago Inc Chicago Mercantile Exchange, Inc ICAP Europe Limited (no longer licensed) |
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
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
- December 2019 (exchange traded AQUA products) | Read the media release
- September 2018
- June 2016 | Read the media release
- March 2016 | Read the media release
- July 2014 (PDF 366 KB)
- May 2013 (PDF 223 KB)
- July 2012 (PDF 387KB)
- November 2011 (PDF 479KB)
- November 2010 | Read the advisory
- August 2009 | Read the advisory
- July 2008 | Read the advisory
- May 2007 | Read the media release
- July 2006 (Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited) | Read the media release
- February 2006 (Australian Stock Exchange Limited) | Read the media release
- September 2005 | Read the announcement
- June 2005 (Australian Stock Exchange Limited) | Read the media release
- August 2004 (Australian Stock Exhange Limited) | Read the media release
- November 2004 (Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited)
- June 2003 (Australian Stock Exhange Limited) | Read the media release
Austraclear Limited
Australia Pacific Exchange Limited
See Sydney Stock Exchange Limited
Australian Clearing House Pty Limited
Australian Stock Exchange Limited
Bendigo Stock Exchange Limited (now IR Plus Securities Exchange Ltd)
Included in National Stock Exchange of Australia Limited reports from November 2009.
- March 2008 | Read the advisory
- May 2007 | Read the advisory
- July 2005 | Read the media release
- November 2004 | Read the media release
BGC Partners (Australia) Pty Limited
- July 2013 (PDF 194 KB)
- July 2012 (PDF 130 KB)
- March 2011
- January 2010
- September 2009 | Read the advisory
- February 2008 | Read the information release
Bloomberg Tradebook Australia Pty Ltd
- 23 October 2019
- October 2012 (PDF 122 KB)
- May 2012
- October 2010
- January 2010
- July 2009 | Read the advisory
- February 2008 | Read the information release
Board of Trade of the City of Chicago Inc
- December 2012 (PDF 158 KB)
- September 2011
- October 2010
- January 2010
- December 2009 | Read the advisory
- February 2008 | Read the information release
- February 2007 | Read the information release
Chicago Mercantile Exchange, Inc
- December 2012 report is listed under Board of Trade of City of Chicago Inc
- September 2011
- October 2010
- January 2010
- December 2008 | Read the advisory
- February 2008 | Read the information release
- March 2007 | Read the information release
- May 2006 | Read the information release
- July 2005 | Read the media release
Chi-X Australia Pty Ltd
EBS Service Company Limited
- July 2010
- January 2010
- June 2009 | Read the advisory
- October 2007 | Read the information release
- May 2006 | Read the information release
Eurex Frankfurt AG
- June 2013
- September 2012
- August 2011
- July 2010
- September 2009 | Read the advisory
- December 2008 | Read the advisory
- June 2007 | Read the information release
- May 2006 | Read the information release
- July 2005 | Read the media release
Golden Circle Limited
- August 2008 (final report) | Read the information release
- August 2007 | Read the information release
- June 2005 | Read the media release
ICAP Europe Ltd
- February 2007 (final report) | Read the information release
- February 2006 | Read the information release
- June 2005 | Read the media release
ICE Futures Europe
IR Plus Securities Exchange Ltd
Formerly SIM Venture Securities Exchange Ltd and Bendigo Stock Exchange Limited
IMB Ltd
- August 2013 (PDF 153 KB)
- December 2012 (PDF 140KB)
- August 2011
- June 2010
- August 2009 | Read the advisory
- January 2009 | Read the advisory
- September 2007 | Read the announcement
- October 2006 | Read the information release
The London Metal Exchange Limited
- July 2013 (PDF 127 KB)
- October 2012
- August 2011
- June 2010
- August 2009 | Read the advisory
- December 2008 | Read the advisory
Mercari Pty Limited
- March 2013 (PDF 117 KB)
- July 2012 (PDF 116 KB)
- March 2011
- April 2010
- August 2009 | Read the advisory
- February 2009 | Read the advisory
- October 2007 | Read the information release
- August 2006 | Read the information release
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.
- August 2017
- December 2013
- February 2013
- October 2011 (NSX Ltd group)
- June 2010 (NSX Ltd group)
- November 2009 (NSX Ltd group) | Read the advisory
- May 2009 | Read the advisory
- January 2008 | Read the information release
- September 2006 (Stock Exchange of Newcastle Ltd) | Read the media release
- June 2005 (Stock Exchange of Newcastle Ltd) | Read the media release
- December 2004 (Stock Exchange of Newcastle Ltd) | Read the media release
(The 2003 assessment report for the Stock Exchange of Newcastle is not available.)
Reuters Transaction Services Limited
- August 2013 (PDF 90 KB)
- October 2012 (PDF 86 KB)
- October 2011
- October 2010
- November 2009
- April 2009 | Read the advisory
- February 2008 | Read the information release
- September 2006 | Read the information release
- November 2005 | Read the media release
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.
- September 2007 | Read the media release
- May 2006 (Sydney Futures Exchange Limited) | Read the media release
- May 2006 (SFE Clearing Corporation Pty Ltd and Austraclear Limited) | Read the media release
- January 2006 (SFE Clearing Corporation Pty Ltd and Austraclear Limited) | Read the media release
- November 2005 | Read the media release
- August 2005 (SFE Clearing Corporation Pty Ltd) | Read the announcement
- June 2005 | Read the media release
- November 2003
Sydney Stock Exchange Limited
Formerly Asia Pacific Stock Exchange Limited, Asia Pacific Exchange Limited and Australia Pacific Exchange Limited.
- March 2017 | Read the media release
- December 2013 (Asia Pacific Exchange Limited)
- September 2012 (Asia Pacific Exchange Limited)
- May 2011 (Asia Pacific Exchange Limited)
- June 2010 (Asia Pacific Exchange Limited)
- August 2009 (Asia Pacific Exchange Limited) | Read the advisory
- April 2009 (Asia Pacific Exchange Limited) | Read the advisory
- January 2008 (Australia Pacific Exchange Limited) | Read the information release
- February 2007 (Australia Pacific Exchange Limited) | Read the information release
- November 2005 (Australia Pacific Exchange Limited) | Read the media release
Yieldbroker Pty Limited
- November 2018
- April 2014 (PDF 131 KB)
- March 2013 (PDF 125KB)
- November 2011 (PDF 116KB)
- January 2011
- January 2010
- July 2009 | Read the advisory
- February 2008 | Read the information release
- November 2006 | Read the information release
- October 2005 | Read the media release
- June 2005 | Read the media release