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ASX Listing Rules compliance course

Enhancing the understanding of, and compliance with, the ASX Listing Rules

About this course

This course is an ‘Approved Listing Rule Compliance Course’ for the purposes of the ASX Listing Rules.

All ASX listed entities are obliged to nominate a person to be responsible for its communications with ASX in relation to Listing Rule matters (a ‘nominated ASX contact’).

Typically, a listed entity will appoint its company secretary or its investor relations officer to be its nominated ASX contact. It may, and often will, appoint more than one nominated ASX contact to cater for situations where the primary contact is on leave or not available.

Any person appointed on or after 1 July 2022 to be a nominated ASX contact for an entity admitted to the official list in the ‘ASX listing’ category must have completed an ‘Approved Listing Rule Compliance Course’ and attained a satisfactory pass mark in the examination for that course (see Listing Rules 1.1 condition 13 and 12.6).

Who can take this course?

This course (and the accompanying exam) is not confined to persons who are, or wish to be, nominated ASX contacts.

Anyone who has an interest in improving or testing their knowledge of the ASX Listing Rules is free to take the course and/or the exam.

To start the course

Please first read the Introduction to the course.

To review the modules in the course, click on the link for the relevant module below:

  1. Continuous disclosure
  2. Periodic reporting
  3. Issue of equity securities
  4. Transactions with persons in a position of influence
  5. Significant transactions
  6. Corporate governance disclosures
  7. General meetings
  8. Lodging documents with ASX
  9. Trading halts and suspensions
  10. Waivers and in-principle advise
  11. Directors' interest notifications

Click this link to sit the exam for the course.  We wish you good luck!

A note about the course materials

The course modules are current as at 25 May 2022 and have been released ahead of 1 July 2022 to allow completion of the course ahead of the listing rule changes taking effect.

To assist entities to transition to the new regime, ASX will apply a ‘grace period’ between 1 July and 30 September 2022. During this period, the following arrangements will apply:

 

Existing listed entities appointing a new nominated ASX contact between 1 July and 30 September 2022: Any person who is newly appointed as a nominated ASX contact for an existing listed entity will have until 14 October 2022 to complete the course and email a copy of their completion certificate to the listings adviser for their entity.
Entities that apply for admission on or after 1 July 2022 and are admitted (or readmitted) by 30 September 2022: Any nominated ASX contact for the entity will have until 14 October 2022 to complete the course and email a copy of their completion certificate to the listings adviser for their entity.

 

From 1 October 2022, any new nominated ASX contact will need to pass the course prior to their appointment as a nominated ASX contact, and the nominated ASX contact for any entities that lodge an application for admission to the official list of ASX will need to have passed the course before the entity is admitted (or readmitted). 

Need assistance?

If you are taking the course for the purposes of the ASX Listing Rules (ie you are, or wish to be, a nominated ASX contact for an ASX listed entity) and you are having any technical difficulties in accessing the course modules or the exam, please contact the entity’s ASX listings adviser for assistance.

If you are not taking the course for the purposes of the ASX Listing Rules and you are having any technical difficulties in accessing the course modules or the exam, please contact ASX customer assistance.

Feedback

ASX welcomes any suggestions you may have on how to improve this course, including topics you think ASX should add to, or cover in greater detail in, the course.

Please use the customer feedback page on the ASX website to pass on your suggestions.

Important legal notice:

The information provided in the course modules is for educational purposes only.

The course modules do not purport to cover all aspects of the Listing Rules relevant to the subject matter in their respective titles. There may also have been changes to a Listing Rule, or to ASX’s policy or guidance on the application of a Listing Rule, mentioned in a module since the module was last updated.

Accordingly, readers should not rely on the contents of the course modules in determining their obligations under the Listing Rules but instead should refer to the Listing Rules and relevant ASX Guidance Notes and, if in doubt, obtain advice from a qualified professional person in respect of the matter.

Nothing in the course modules binds ASX in the application of the Listing Rules in a particular case.

To the extent permitted by law, ASX and its officers, employees and contractors shall not be liable for any loss or damage to any person arising in any way (including because of negligence) from or in connection with any information provided, or omitted to be provided, in the course modules, or from anyone acting or refraining to act in reliance on the materials in the course modules.

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