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ASIC's responses to COVID-19
ASIC website resources
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)
See also
Home > About ASIC > Corporate publications > Newsletters > Market integrity update
Home > Regulatory resources > Markets > Resources > Market integrity reports
Home > Regulatory resources > Markets > Market structure > Licensed market and clearing and settlement facility assessment reports
Markets Disciplinary Panel
RG 216 Markets Disciplinary Panel
REP 624 Response to submissions on CP 306 Markets Disciplinary Panel (see CP 306 and submissions and 19-204MR)
RG 225 Markets Disciplinary Panel practices and procedures
Market Integrity Rules
See also
ASIC > Regulatory resources > Markets > Market Integrity Rules
Rule amendments - 10 March 2022
22-045MR ASIC amends market integrity rules and other ASIC-made rule books
See also
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
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
ASIC Market Integrity Rules (Securities Markets) Amendment 2022/73
Capital
See
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 (see also CP 302 and submissions)
See also
Home > Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules
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 Market Integrity Rules (Securities Markets) Determination 2021/991 (commences 12 January 2022)
ASIC Market Integrity Rules (Securities Markets) Determination 2022/134 (commences 8 April 2022)
ASIC Corporations (Securities Lending Arrangements) Instrument 2021/821 (see REP 706, CP 319 and submissions and 19-193MR)
See also
Home > Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules
REP 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules (see CP 277 and submissions)
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
See also
Home > Regulatory resources > Markets > Market integrity rules > Register of waivers granted under ASIC market integrity rules
REP 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules (see CP 277 and submissions)
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
INFO 255 Activist short selling campaigns in Australia
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
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 21-285MR and CP 343 and submissions)
Reporting suspicious activity
See also
Home > Regulatory resources > Markets > Report 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
Domestic Australian markets
See also
Regulatory index topic: Clearing and settlement facilities
Regulatory guides
RG 172 Financial markets: Domestic and overseas operators
RG 196 Short selling: Overview of s1020B
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 Market Integrity Rules (Securities Markets) Determination 2021/509
ASIC Corporations (Short Term Trading Market) Instrument 2021/218
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
Information sheets
INFO 95 Requirements for disclosure and reporting of short sales from 19 November 2008
INFO 230 Exchange traded products: Admission guidelines (see CP 356 and 22-003MR: 20/1/2022)
See also
Regulatory index topic: Market supervision
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
See also
Regulatory index topic: Fundraising: Offers that do not need a disclosure document - Foreign disclosure documents-mutual recognition
RG 172 Financial markets: Domestic and overseas operators
RG 72 Foreign securities prospectus 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 04/829 US CFTC regulated financial services providers
CO 04/1313 Germany BaFin regulated financial service providers
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
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
See
Home > Regulatory resources > Markets > Market structure > Licensed market and clearing and settlement facility assessment reports
Listed entities
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
Derivatives
ASIC Derivative Transaction Rules (Reporting) 2013
See also
CP 334 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): First consultation
Attachment to CP 334 (Word 146 KB)
ASIC Derivative Transaction Rules (Clearing) 2015
See also
CP 353 Proposed amendments to the ASIC Derivative Transaction Rules (Clearing) 2015
ASIC Client Money Reporting Rules 2017
RG 249 Derivative trade repositories
RG 251 Derivative transaction reporting
ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844
ASIC Corporations (Derivative Transaction Clearing Exemption) Instrument 2016/258
ASIC Corporations (Derivative Clearing Exemption) Instrument 2018/209
ASIC Derivative Transaction Rules (ADI Foreign Subsidiaries) Class Exemption 2021/51
INFO 226 Complying with the ASIC Client Money Reporting Rules 2017
REP 356 Response to submissions on CP 201: Derivative trade repositories
REP 357 Response to submissions on CP 205: Derivative transaction reporting
REP 359 Report on the Australian OTC Derivatives Market: July 2013
REP 422 Response to submissions on CP 221 Proposed amendments to ASIC Derivative Transaction Rules (Reporting) 2013
REP 460 Response to submissions on Consultation Paper 231 Mandatory central clearing of OTC interest rate derivative transactions
REP 482 Compliance review of the retail OTC derivatives sector
REP 579 Improving practices in the retail OTC derivatives sector
REP 626 Consumer detriment from OTC binary options and CFDs