Licensed market and clearing and settlement facility annual 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.

Under the Coporations Act, ASIC must assess, at least once a year, whether a licensee has adequate arrangements to supervise its market and/or clearing and settlement facility.

Our most recent reports:
Eurex Frankfurt AG | EBS Service Company Limited

Find assessment reports for:

Domestic licensees

Asia Pacific Exchange Limited (formerly Australia Pacific Exchange Limited)

ASX Limited

Australian Clearing House Pty Limited

ASX Settlement and Transfer Corporation Pty Limited

Austraclear Limited

BGC Partners (Australia) Pty Limited

Bloomberg Tradebook Australia Pty Ltd

EBS Service Company Limited

Golden Circle Limited (no longer licensed)

IMB Ltd

Mercari Pty Limited

National Stock Exchange of Australia Limited (formerly Stock Exchange of Newcastle Limited)

SFE Clearing Corporation Pty Ltd

SIM Venture Securities Exchange Ltd (formerly Bendigo Stock Exchange Limited)

Sydney Futures Exchange Limited

Yieldbroker Pty Limited

Overseas licensees

Board of Trade of the City of Chicago Inc

Chicago Mercantile Exchange, Inc

Eurex Frankfurt AG

ICAP Europe Limited (no longer licensed)

The London Metal Exchange Limited

Reuters Transaction Services Limited

Asia Pacific Exchange Limited

Formerly Australia Pacific Exchange Limited.

June 2010
August 2009 | Read the advisory
April 2009 | 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

ASX Futures Exchange Limited

No longer licensed.
See ASX Limited

ASX Settlement and Transfer Corporation Pty Limited

See ASX Limited

Back to list of licensees

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. Earlier SFE reports

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

Back to list of licensees

Austraclear Limited

See ASX Limited

Australia Pacific Exchange Limited

See Asia Pacific Exchange Limited

Australian Clearing House Pty Limited

See ASX Limited

Australian Stock Exchange Limited

See ASX Limited

Bendigo Stock Exchange Limited (now SIM Venture Securities Exchange Ltd)

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

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BGC Partners (Australia) Pty Limited

Bloomberg Tradebook Australia Pty Ltd

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Board of Trade of the City of Chicago Inc

Back to list of licensees

Chicago Mercantile Exchange, Inc

EBS Service Company Limited

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Eurex Frankfurt AG

Golden Circle Limited

No longer licensed.

August 2008 (final report) | Read the information release
August 2007 | Read the information release
June 2005 | Read the media release

Back to list of licensees

ICAP Europe Ltd

No longer licensed.

February 2007 (final report) | Read the information release
February 2006 | Read the information release
June 2005 | Read the media release

IMB Ltd

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The London Metal Exchange Limited

Mercari Pty Limited

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National Stock Exchange of Australia Limited

Formerly Stock Exchange of Newcastle Limited.
Includes SIM Venture Securities Exchange Ltd (formerly Bendigo Stock Exchange Limited) from November 2009.

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

REP 181 Market assessment report: Reuters Transaction Services Limited

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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

Yieldbroker Pty Limited

Back to list of licensees

ASIC Website: Printed 09/09/2010

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