Financial markets
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Market supervision
RG 241 Electronic trading
REP 440 Financial benchmarks
REP 487 Review of Australian equity market cleanliness
REP 623 Review of Australian equity market cleanliness: 1 November 2015 to 31 October 2018
REP 708 ASIC’s expectations for industry in responding to a market outage (see 21-313MR, 22-159MR and 22-300MR)
REP 716 Cyber resilience of firms in Australia’s financial markets: 2020–21 (see 21-331MR)
22-005MR ASIC embarks on regtech innovation initiative into poor market disclosure
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Markets Disciplinary Panel
RG 216 Markets Disciplinary Panel
REP 624 Response to submissions on CP 306 Markets Disciplinary Panel (see 19-204MR)
RG 225 Markets Disciplinary Panel practices and procedures
Market integrity rules
This section contains:
Related information
Regulatory resources > Markets > Market Integrity Rules
Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules
Rule amendments - 10 March 2022
22-045MR ASIC amends market integrity rules and other ASIC-made rule books
Related information
- REP 719 Response to submissions on CP 314 Market integrity rules for technological and operational resilience
- ASIC Market Integrity Rules (Securities Markets and Futures Markets) Amendment Instrument 2022/74
- REP 720 Response to submissions on CP 342 Proposed amendments to the ASIC market integrity rules and other ASIC-made rules (see 21-155MR)
- ASIC Market Integrity Rules (Securities Markets and other ASIC-Made Rules) Amendment Instrument 2022/117
- REP 721 Response to submissions on CP 347 Proposed amendments to the prohibition on order incentives in the ASIC market integrity rules (see 21-224MR)
- ASIC Market Integrity Rules (Securities Markets) Amendment 2022/73
Capital
21-137MR ASIC makes new market integrity rules for capital
ASIC Market Integrity Rules (Capital) 2021
REP 692 Response to submissions on CP 302 Proposed changes to ASIC’s capital requirements for market participants
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Securities markets
ASIC Market Integrity Rules (Securities Markets) 2017
ASIC Market Integrity Rules (Securities Markets – Capital) 2017
RG 265 Guidance on ASIC market integrity rules for participants of securities markets
ASIC Market Integrity Rules (Securities Markets) Class Waiver 2018/303
ASIC Market Integrity Rules (Securities Markets) Determination 2018/314
ASIC Market Integrity Rules (Securities Markets) Determination 2018/317
ASIC Market Integrity Rules (Securities Markets) Class Waiver 2020/870
ASIC Corporations (Securities Lending Arrangements) Instrument 2021/821 (see REP 706, CP 319 and submissions and 19-193MR)
ASIC Market Integrity Rules (Securities Markets and Futures Markets) Amendment Instrument 2022/74 (to be repealed 11 March 2023)
ASIC Market Integrity Rules (Securities Markets) Determination 2023/707 (commences 6 October 2023)
Related information
Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules
Background
REP 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules
REP 555 Cyber resilience of firms in Australia’s financial markets
REP 592 Review of ASX Group’s technology governance and operational risk management standards
Futures markets
ASIC Market Integrity Rules (Futures Markets) 2017
ASIC Market Integrity Rules (Futures Markets – Capital) 2017
RG 266 Guidance on ASIC market integrity rules for participants of futures markets
ASIC Market Integrity Rules (Futures Markets) Class Waiver 2018/313
ASIC Market Integrity Rules (Futures Markets) Determination 2018/315
Related information
Home > Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules
Background
REP 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules
REP 555 Cyber resilience of firms in Australia’s financial markets
REP 592 Review of ASX Group’s technology governance and operational risk management standards
IMB
ASIC Market Integrity Rules (IMB Market) 2010
RG 265 Guidance on ASIC market integrity rules for participants of securities markets
Short selling
RG 196 Short selling
REP 302 Short selling: Post-implementation review
INFO 95 Requirements for disclosure and reporting of short sales
INFO 98 Short selling: Short position reporting
INFO 158 Short sale tagging (Withdrawn)
INFO 255 Activist short selling campaigns in Australia (see 21-118MR)
ASIC Corporations (Short Selling) Instrument 2018/745
REP 608 Response to submissions on CP 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders
High-frequency trading
REP 331 Dark liquidity and high-frequency trading
INFO 178 Dark liquidity and high-frequency trading (2012)
INFO 209 Review of high-frequency trading and dark liquidity (2015)
REP 394 Review of recent rule changes affecting dark liquidity
REP 452 Review of high-frequency trading and dark liquidity
REP 597 High-frequency trading in Australian equities and the Australian–US dollar cross rate
REP 598 High-frequency trading in Australian equities and the Australian–US dollar cross rate (summary version)
Market structure
INFO 177 Quarterly cash equity market data: Methodology and definitions
Financial benchmarks
RG 268 Licensing regime for financial benchmark administrators
REP 440 Financial benchmarks
ASIC Corporations (Significant Financial Benchmarks) Instrument 2018/420
ASIC Financial Benchmark (Administration) Rules 2018
ASIC Financial Benchmark (Compelled) Rules 2018
Background
CP 292 Implementing the financial benchmark regulatory regime
Exchange traded products
INFO 225 Crypto-assets
INFO 230 Exchange traded products: Admission guidelines
REP 705 Response to submissions on CP 343 Crypto-assets as underlying assets for ETPs and other investment products (see 21-153MR and 21-285MR)
REP 750 Response to submissions on CP 356 ETP naming conventions: Updates to INFO 230 (see 22-003MR and 22-325MR)
[CO 13/721] Relief to facilitate quotation of exchange traded funds on the AQUA Market (see 21-142MR)
Reporting suspicious activity
RG 103 Confidentiality and release of information
RG 265 Guidance on ASIC market integrity rules for participants of securities markets (supersedes RG 238)
RG 266 Guidance on ASIC market integrity rules for participants of futures markets (supersedes RG 238)
INFO 237 Protecting against share sale fraud
INFO 238 Whistleblower rights and protections
INFO 239 How ASIC handles whistleblower reports
INFO 265 Reports of suspicious activity in FICC markets
Background
Home > Regulatory resources > Markets > Report suspicious activity
Domestic Australian markets
This section contains:
Background
Regulatory index topic: Market supervision
Regulatory index topic: Clearing and settlement facilities
Letter
ASIC-RBA joint letter to ASX Clear and ASX Settlement CS Advisory Group (PDF 91 KB) (see 23-236MR)
Regulatory guides
RG 172 Financial markets: Domestic and overseas operators
RG 196 Short selling: Overview of s1020B
RG 241 Electronic trading
Legislative instruments
[CO 01/15] Sydney Futures Exchange — participant's relevant interest and voting power
[CO 03/965] Sydney Futures Exchange — extension of the definition of "member" of a futures organisation
[CO 13/721] Relief to facilitate quotation of exchange traded funds on the AQUA Market (see 21-142MR)
ASIC Corporations (Market Research and Roadshows) Instrument 2016/79
ASIC Corporations (Electronic Lodgment of Financial Reports) Instrument 2016/181
ASIC Corporations (Exchange-Traded Derivatives: Multiple Issuers) Instrument 2016/883
ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886
ASIC Corporations (Records: Dealings on Foreign Markets) Instrument 2016/889
ASIC Corporations (Transfers of Division 3 Securities) Instrument 2016/893
ASIC Corporations (NZD Denominated Client Money) Instrument 2018/152
ASIC Corporations (Short Selling) Instrument 2018/745
ASIC Corporations (Short Term Trading Market) Instrument 2021/218
ASIC Market Integrity Rules (Securities Markets) Determination 2021/509
Reports
REP 83 Small and mid-cap miners study
REP 158 Survey of the OTC derivatives market in Australia
REP 309 Report on the Australian OTC Derivatives Market – October 2012
REP 486 Sell-side research and corporate advisory: Confidential information and conflicts
REP 525 Promoting better behaviour: Spot FX
REP 583 Review of exchange traded products
REP 592 Review of ASX Group’s technology governance and operational risk management standards
REP 608 Response to submissions on CP 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders
REP 652 Wholesale FX practices in Australia
REP 732 Pump and dump of micro-cap securities
REP 741 Conduct risk in wholesale fixed income markets (see 22-288MR)
REP 742 Managing conflicts of interest in wholesale financial markets (22-288MR)
Information sheets
INFO 50 Notifying a market operator about directors’ interests in company securities
INFO 95 Requirements for disclosure and reporting of short sales from 19 November 2008
INFO 230 Exchange traded products: Admission guidelines (see 22-003MR and 22-325MR)
Debt capital markets
REP 668 Allocations in debt capital market transactions
REP 393 Handling of confidential information: Briefings and unannounced corporate transactions
REP 605 Allocations in equity raising transactions
RG 79 Research report providers: Improving the quality of investment research
RG 181 Licensing: Managing conflicts of interest
RG 264 Sell-side research
Overseas markets
RG 172 Financial markets: Domestic and overseas operators
RG 72 Foreign securities disclosure relief
RG 163 Takeovers: Minimum bid price principle
RG 253 Fundraising: Facilitating offers of CHESS Depository Interests
ASIC Regulated Foreign Markets Determination [OTC DET 13/1145]
ASIC Corporations (Foreign Securities – Small-Scale Offers) Instrument 2015/362
ASIC Corporations (Approved Foreign Financial Markets) Instrument 2015/1071
ASIC Corporations (Foreign Small-Scale Offers)
Instrument 2015/362
ASIC Corporations (Definition of Approved Foreign Market) Instrument 2017/669
CO 04/443 Licensing relief for offshore participants in the market operated by Eurex Frankfurt AG
CO 04/444 Licensing relief for offshore participants in the market operated by Chicago Mercantile Exchange Inc.
CO 05/84 JSE Securities Exchange South Africa added to ASIC's downstream acquisition takeover relief
CO 14/827 Offers of CHESS depository interests
INFO 252 Managing conduct risk during LIBOR transition (see 20-304MR)
REP 134 Enhancing capital flows into and out of Australia
REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests
Background
Regulatory index topic: Fundraising: Offers that do not need a disclosure document - Foreign disclosure documents-mutual recognition
Exemptions
CO 04/443 Licensing relief for offshore participants in the market operated by Eurex Frankfurt AG
CO 04/444 Licensing relief for offshore participants in the market operated by Chicago Mercantile Exchange Inc.
ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186
INFO 217 Licensing relief for low volume financial markets
Assessment reports
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Listed entities
This section contains:
RG 193 Notification of directors' interests in securities—listed companies
REP 593 Climate risk disclosure by Australia’s listed companies
Continuous disclosure
RG 66 Transaction specific disclosure
RG 86 Beneficial ownership notices
RG 95 Disclosing entity provisions relief
RG 25 Takeovers: False and misleading statements
RG 62 Better disclosure for investors
RG 73 Continuous disclosure obligations: infringement notices
ASIC Corporations (Securities Lending Arrangements) Instrument 2021/821 (see 19-193MR, CP 319 and submissions and REP 706)
Derivatives
Rules
ASIC Derivative Transaction Rules (Reporting) 2013 (repealed 1 October 2023)
ASIC Derivative Trade Repository Rules 2023 (commences 1 October 2023)
ASIC Derivative Transaction Rules (Clearing) 2015
ASIC Derivative Transaction Rules (Reporting) 2022 (until 20 October 2024 inclusive)
ASIC Derivative Transaction Rules (Reporting) 2024 (from 21 October 2024)
Regulatory Guides
RG 227 Over-the-counter contracts for difference: Improving disclosure for retail investors
RG 249 Derivative trade repositories
RG 251 Derivative transaction reporting
Legislative instruments
Corporations (Derivatives) Determination 2013 (Minister's determination)
ASIC Regulated Foreign Markets Determination [OTC DET 13/1145] (Regulated Foreign Markets)
ASIC Derivative Transaction Rules (Nexus Derivatives) Class Exemption 2015
ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844
ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2016/0688 (repealed 21/10/2024)
ASIC Corporations (Derivative Clearing Exemption) Instrument 2018/209
ASIC Derivative Transaction Rules (Reporting) Determination 2018/1096 (PDF - Excluded Derivative Determination)
ASIC Derivative Transaction Rules (ADI Foreign Subsidiaries) Class Exemption 2021/51 (repealed 21/10/2024)
ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705 (see 22-166MR and 22-250MR)
ASIC Regulated Foreign Markets Determination 2023/346
ASIC Derivative Transaction Rules (Reporting) Determination 2023/679
ASIC Corporations (Derivative Trade Repository Rules—DDRS) Instrument 2023/725
ASIC Derivative Transaction Rules (Clearing) Amendment Instrument 2023/726 (see REP 771)
Background
Home > Regulatory resources > Markets > OTC derivatives > Derivative transaction reporting
REP 770 Design and distribution obligations: Retail OTC derivatives (September 2023)
REP 726 Response to submissions on CP 353 Proposed amendments to the ASIC Derivative Transaction Rules (Clearing) 2015 (13 May 2022)
CP 361 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): Second consultation (16 May 2022)
REP 755 Response to submissions on CP 361 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): Second consultation (20 December 2022)
CP 334 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): First consultation (1 July 2021)
Attachment to CP 334 (Word 146 KB)
Australian Central Bank Digital Currency Pilot Project (CDBC)
Corporations (CS Facility Exemption) Instrument 2023/18
ASIC Corporations (Superannuation Payment Facility) Instrument 2023/271
Background
Australian Central Bank Digital Currency Pilot Project website