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 large financial institutions in the US with equity options and index options and enable ASX participants to accept orders for such products from such institutional clients.
ASX also has no action relief to enable certain US companies to list on ASX.
Additionally, Austraclear is authorised to act as a foreign depository for US investors.
Commodity Futures Trading Commission (CFTC)?- USA
ASX has relief from US regulations to allow designated ASX participants to trade certain ASX futures and options products in the US. It also has permission to enable the offer and sale in the US of futures contracts based on the S&P/ASX 200 index and S&P ASX 50 index.
ASX 24 has relief to enable certain ASX 24 products to be offered in the US, for SYCOM to be made available in US and for designated ASX 24 participants to trade ASX 24 products in the US.
Financial Conduct Authority (FCA) -?United Kingdom
ASX 24 has received Recognised Overseas Investment Exchange approval in the United Kingdom.
Financial Markets Authority (FMA) - New Zealand
ASX 24 has New Zealand Financial Product Market Licence approval in New Zealand.
Financial Market Supervisory Authority (FINMA) - Switzerland
ASX 24 has foreign trading venue recognition in Switzerland.