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.

Find assessment reports for:

Domestic licensees

Overseas licensees

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

See ASX 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


Austraclear Limited

See ASX Limited


Australia Pacific Exchange Limited

See Sydney Stock Exchange Limited


Australian Clearing House Pty Limited

See ASX Limited


Australian Stock Exchange Limited

See ASX Limited


Bendigo Stock Exchange Limited (now IR Plus Securities Exchange Ltd)

Included in National Stock Exchange of Australia Limited reports from November 2009.


BGC Partners (Australia) Pty Limited


Bloomberg Tradebook Australia Pty Ltd


Board of Trade of the City of Chicago Inc


Chicago Mercantile Exchange, Inc


Chi-X Australia Pty Ltd


EBS Service Company Limited


Eurex Frankfurt AG


Golden Circle Limited

No longer licensed.


ICAP Brokers Limited


ICAP Europe Ltd

No longer licensed.


ICE Futures Europe


IR Plus Securities Exchange Ltd

Formerly SIM Venture Securities Exchange Ltd and Bendigo Stock Exchange Limited


IMB Ltd


The London Metal Exchange Limited


Mercari Pty Limited


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.

(The 2003 assessment report for the Stock Exchange of Newcastle is not available.)


Reuters Transaction Services Limited


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.


Sydney Stock Exchange Limited

Formerly Asia Pacific Stock Exchange Limited, Asia Pacific Exchange Limited and Australia Pacific Exchange Limited.

Back to list of licensees


Tullett Prebon (Australia) Pty Limited


Yieldbroker Pty Limited

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Last updated: 21/08/2009 12:00