ASX regulatory framework ASX Login {{numOfNotifications}} account_circle{{ displayName }} account_circle ASX Schools Sharemarket Game Frequently Asked Questions (FAQs) My dashboard My profile Logout {{ item.name }} {{item.marketNotificationCount}} {{item.marketNotificationCount}} No watchlists {{numOfNotifications}} account_circle{{ displayName }} account_circle ASX Schools Sharemarket Game Frequently Asked Questions (FAQs) My dashboard My profile Logout {{ item.name }} {{item.marketNotificationCount}} {{item.marketNotificationCount}} No watchlists Enter Keyword for Search VIEW ALL RESULTS popular searches {{ item }} recent searches {{ item }} Markets Trade our cash market Cash market prices Today's announcements Historical announcements Company directory Dividend search Australian equities trading Australian Cash Market Report ASX Trade - platform updates Trade our derivatives market Derivatives market prices Futures market trading Equity options market trading ASX 24 Platform Replacement Project Clearing and settlement services ASX Clear ASX Clear (Futures) | Clearing and Settlements ClearStar Program OTC Clearing ASX Settlement Austraclear ASX Collateral Stakeholder Engagement CHESS Project Market resources ISIN Services ASX fee schedules ASX codes and descriptors Market maker arrangements System status Incident Management Trading hours and calendars Market Notices Market volatility FAQs Market capitalisation methodology Connectivity and data Information Services Price data Reference data Company news Benchmarks New Original Work Energy data Debt market data products Connectivity Services ASX Colo OnDemand Australian Liquidity Centre (ALC) ASX Net Your office or data centre Public cloud providers Alternative liquidity venues Global exchange hubs Trading platforms network replacement Listings Why list on ASX Listed Company Services A global leader in metals and mining Listing considerations Is listing for you? 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WELCOME Sign up at ASX An account with your email already exists. You might already have an ASX account with another platform. Please log in with your existing credentials ASX regulatory framework ASX operates liquid, transparent, reliable markets of integrity where its activities are overseen by local and international regulators. About the ASX regulatory framework Australia operates in a highly regulated environment overseen by two independent Australian government agencies – the Australian Securities and Investments Commission (ASIC) and the Reserve Bank of Australia (RBA). The Committee on Payments and Market Infrastructures (CPMI) and the Technical Committee of the International Organisation of Securities Commissions (IOSCO) are responsible for the establishment of the broad international standards for the regulation and conduct of clearing and settlement facilities. These are set out in the CPMI-IOSCO Principles for Financial Market Infrastructures. ASX has received certain trading or market operating recognition or authorisation from a number of international regulators and is required to comply with certain regulatory obligations issued by those international authorities in order to maintain authorisation. Regulatory authorities Government regulators have extensive powers to enforce the laws and regulations that govern financial markets in Australia and overseas. Australian regulatory authorities International regulatory authorities > Confidence in the operation of the companies within ASX Group is reinforced by the whole-of-market regulation undertaken by ASIC across all trading venues and clearing and settlement facilities, as well as the financial system stability oversight by the RBA of ASX’s clearing and settlement facilities. ASIC also supervises ASX’s own compliance with the ASX Listing Rules as a listed company. Additional responsibility for regulation of the Australian financial system lies with Treasury and APRA. Together with ASIC and the RBA, these four entities comprise the Council of Financial Regulators in Australia. The Australian Securities and Investments Commission ASIC is responsible for the supervision of real-time trading on Australia’s domestic markets, including those operated by ASX Group, and for enforcing the laws against misconduct on Australia’s financial markets, as well as supervising Australian Financial Service Licence (AFSL) holders. The Reserve Bank of Australia The RBA has responsibility for assessing whether licensed clearing and settlement facilities, including those operated by ASX Group, have complied with the RBA’s Financial Stability Standards (“FSS”) and done all other things necessary to reduce systemic risk.  Treasury The Department of the Treasury is an Australian Federal Government department which develops economic policy. Treasury works with the RBA, ASIC and APRA on the Council of Financial Regulators. The Australian Prudential Regulatory Authority APRA is the prudential regulator of the Australian financial services industry and is a member of the Council of Financial Regulators. Council of Financial Regulators CFR is the coordinating body for Australia’s main financial regulatory agencies. Its members are the RBA (Chair), ASIC, APRA and Treasury. CFR’s role is to contribute to the efficiency and effectiveness of financial regulation, and promote the stability of the Australian financial system. CFR also provides advice to the Federal Government on the adequacy of Australia’s financial regulatory arrangements. ASX has received certain trading or market operating recognition or authorisation from a number of international regulators and is required to comply with certain regulatory obligations issued by those international authorities in order to maintain authorisation. The below list is distinct from the Clearing and Settlement Regulatory Obligations arising from international clearing or settlement-related authorisations. Monetary Authority of Singapore (MAS) - Singapore ASX and ASX 24 are Recognised Market Operators in Singapore. ASX is authorised to operate a securities market and ASX 24 is authorised to operate a market in respect of futures contracts. Securities and Futures Commission (SFC) - Hong Kong  In Hong Kong, ASX and ASX 24 are approved to provide automated trading services across ASX Trade, SYCOM (now NTP) and Genium Clearing. Securities and Exchange Commission (SEC) - USA ASX has no action relief from the SEC which enables it to familiarise certain broker-dealers and l…