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Participants Compliance

Participants Compliance monitors and enforces compliance by participants with the ASX Operating Rules

About Participants Compliance 

Participants Compliance is a specialist function established by ASX to monitor and enforce compliance by participants with the Operating Rules of the ASX and ASX24 markets and the ASX Clear, ASX Clear (Futures), ASX Settlement and Austraclear facilities. 

Click here to read more about ASX's processes for monitoring and enforcing compliance by participants with ASX's Operating Rules.

Applications for admission

Participants Compliance assesses whether applications for admission as a participant to an ASX market or clearing and settlement facility conform to the Operating Rules for that market or facility.

Detailed information about ASX’s requirements to be admitted as a participant can be found in Guidance Note 1 Admission as a participant for the relevant market or facility.

Application forms for admission as a participant and related documents are available on the ASX Compliance downloads page.

Applications for waivers

Participants Compliance processes applications for waivers of the Operating Rules governing ASX's markets and clearing and settlement facilities. 

Guidance Note 4 Waivers and In-Principle Advice  for each market and facility has further information on how to apply for a waiver of the Operating Rules governing that market or facility.

Past waivers of the Operating Rules can be viewed here.
 

Quick links

Contact details

 

 

Exchange Centre
20 Bridge Street
Sydney NSW 2000

Phone: +61 2 9227 000

Email: Participants.Compliance@asx.com.au