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ASX compliance 

ASX compliance oversees compliance by listed entities with the ASX listing rules and by participants with the operating rules of the various markets and clearing and settlement facilities operated by the ASX Group. 

About ASX compliance 

ASX compliance is responsible for overseeing compliance by listed entities with the ASX listing rules and by participants with the operating rules of the various markets and clearing and settlement facilities operated by the ASX Group. It has delegated authority to make certain compliance and enforcement decisions on behalf of the ASX Group licensees.

ASX compliance is comprised of three functional units:

  • Listing compliance 
  • Participants compliance 
  • Executive Office, which administers:
    • Enforcement action against participants and listed entities, 
    • ASX Corporate Governance Council, and
    • ASX Compliance Education and Research program. 

The Listings Compliance and Executive Office functions report to Janine Ryan, Group Executive and Chief Compliance Officer, and Participants Compliance to Hamish Treleaven, Group Executive and Chief Risk Officer.

ASX Compliance