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ASX Compliance 

ASX Compliance monitors and enforces 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 a specialist function established by ASX to monitor and enforce compliance with the rules governing ASX's markets and clearing and settlement facilities. It  has three divisions:

  • Listings Compliance - monitors and enforces compliance by listed entities with the ASX Listing Rules and by investment product issuers with the ASX Operating Rules
  • Participants Compliance - monitors and enforces compliance by participants with the Operating Rules of the various markets and clearing and settlement facilities operated by the ASX Group
  • Executive Office - responsible for:
    • enforcement action against participants and ASIC referrals, 
    • the ASX Corporate Governance Council, and
    • the ASX Compliance Education and Research program. 

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

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