Listing compliance 

Listings Compliance assesses whether applications for admission to the ASX official list conform to the requirements of the listing rules and also whether applications for the quotation of warrants and AQUA products conform to the requirements of the ASX operating rules.

Detailed information about ASX’s requirements to be admitted to the ASX official list can be found in Listing Rules Guidance Note 1 Applying for Admission– ASX Listings, Guidance Note 4 Foreign Entities Listing on ASX and Guidance Note 29 Applying for Admission – ASX Debt Listings.

Further information about ASX’s warrants and AQUA product markets can be found here.

Listings Compliance processes applications for waivers of the ASX listing rules and the ASX operating rules governing the quotation of warrants and AQUA products.

Listing Rules Guidance Note 17 Waivers and in Principle Advice has further information on how to apply for a waiver of the listing rules, while ASX Operating Rules Guidance Note 4 Waivers and In-Principle Advice has further information on how to apply for a waiver of the operating rules governing the quotation of warrants and AQUA products.

Each ASX listed entity is assigned a listings adviser who is their primary point of contact at ASX on listing rule issues. Listings advisers are also responsible for monitoring and enforcing compliance with the ASX listing rules with particular emphasis on listed entity obligations in relation to continuous and periodic disclosure and the requirement for certain transactions to be subject to security holder approval.

Further information on Listings Compliance role in monitoring and enforcing compliance with the ASX listing rules can be found here.

Listings Compliance publishes Compliance Updates (formerly Listed Entities Updates) to advise listed entities of market developments, including proposed changes to ASX Listing Rules and Guidance Notes, and to provide guidance on topical or emerging compliance issues.

Compliance Updates will be of interest to:

• company secretaries
• communications/investor relations managers
• general counsel
• local agents for foreign companies.