RG 172 Financial markets: Domestic and overseas operators

The Australian Securities and Investments Commission issued this guide to provide regulatory guidance on the licensing regime and obligations for operators of financial markets. The document explicitly notes that it does not reflect amendments introduced by the Treasury Laws Amendments (Financial Market Infrastructure and Other Measures) Act 2024. The regulator intends to review and update the guide in due course to align with these recent legislative changes.

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Issued 2 August 2022

This guide provides guidance about the licensing regime and regulatory obligations for operators of financial markets.

Note:
This guide does not reflect amendments to the Corporations Act introduced by the Treasury Laws Amendments (Financial Market Infrastructure and Other Measures) Act 2024, which received the Royal Assent on 17 September 2024. This guide will be reviewed and updated in due course. For more information, please visit our FMI reform implementation
page.

Download RG 172 (PDF 1.3 MB)

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RG 172 Financial markets: Domestic and overseas operators

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