Financial markets

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Home > Regulatory resources > 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)

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

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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

 

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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

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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

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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 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

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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

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IMB

ASIC Market Integrity Rules (IMB Market) 2010

RG 265 Guidance on ASIC market integrity rules for participants of securities markets

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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

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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)

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Market structure

INFO 177 Quarterly cash equity market data: Methodology and definitions

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Financial benchmarks

RG 268 Licensing regime for financial benchmark administrators

REP 440 Financial benchmarks

ASIC Corporations (Significant Financial Benchmarks) Instrument 2018/420

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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)

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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 

ASIC immunity policy

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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

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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

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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

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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

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Assessment reports

See

Home > Regulatory resources > Markets > Market structure > Licensed market and clearing and settlement facility assessment reports

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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

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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

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Last updated: 10/05/2022 10:46