Listings

ASX's Listings Unit is responsible for:

• Processing applications for admission to the ASX Official List
• Processing applications for quotation of warrants and AQUA products
• Monitoring and enforcing compliance with the ASX Listing Rules and the ASX Operating Rules that govern the approval of Warrants Issuers and AQUA Product Issuers
• Processing applications for waivers from the ASX Listing Rules and the ASX Operating Rules that govern the approval of Warrants Issuers and AQUA Product Issuers
• Publishing Listed Entities Updates

Applications for admission to the ASX Official List

Enquiries about listing on ASX can be directed to a Listings representative in any ASX office (contact details below) or by emailing listings@asx.com.au.

For further information about an ASX listing, go to http://www.asx.com.au/professionals/listing/index.htm.

Applications for quotation of warrants and AQUA products

Enquiries about having a warrant or AQUA product quoted on ASX can be directed to a Warrants and AQUA representative in the Sydney office or by emailing listings@asx.com.au.

For further information about ASX's warrants and AQUA product markets, go to http://www.asx.com.au/professionals/quoting_investment_products/index.htm.

Monitoring and enforcing compliance

The Listings Unit plays a key role in monitoring and enforcing compliance with the ASX Listing Rules and with the ASX Operating Rules that govern the quotation of warrants and AQUA products.

The Listings Unit allocates a dedicated Listings adviser to each listed entity. A key part of the adviser’s role is to establish and maintain a good working relationship with the relevant officers of the listed entity and to become knowledgeable about the entity and its history and operations. Experience has shown that such relationships and knowledge are critical in ensuring effective communication and facilitating appropriate and timely compliance outcomes.

The requirement for listed entities to disclose material information in a timely manner is particularly important to the orderly conduct and reputation of ASX’s markets. For that reason, the Listings Unit also has a dedicated Surveillance team which uses sophisticated technology systems to monitor trading in listed securities to identify situations where trading may be taking place where the market is not reasonably informed. Where such situations are identified, the relevant Listings adviser will contact the listed entity to explore whether it is in possession of information that ought to be announced to the market.

ASX Listing Rules Guidance Note 8: Continuous Disclosure (PDF 199KB) has further details about ASX's continuous disclosure regime.

Applications for waivers

In an appropriate case, ASX may waive compliance with a Listing Rule, or with an Operating Rule governing the approval of Warrants Issuers and AQUA Product Issuers. Waivers are published by ASX periodically in a waivers register and are also advised to ASIC.

Applications for a waiver of these rules should be addressed to the Listings Unit (contact details below).

ASX Listing Rules Guidance Note 17: Waivers from ASX Listing Rules (PDF 96KB) and ASX Operating Rules Guidance Note 16: Waivers of ASX Operating Rules - Warrant, Issuers and AQUA Product Issuers (PDF 100KB) set out further information on how decisions are made in relation to waiver applications.

Listed Entities Updates

The ASX Listings Unit publishes Listed Entities Updates by email from time to time 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.

Past editions of Listed Entities Updates can be viewed here.

Listings contact details

Exchange Centre 20 Bridge Street Sydney NSW 2000	Phone Fax	(02) 9227 0000 (02) 9241 7620
Level 4, Rialto North Tower 525 Collins Street Melbourne VIC 3000	Phone Fax	(03) 9617 8611 (03) 9614 0303
Level 8, Exchange Plaza 2 The Esplanade Perth WA 6000	Phone Fax	(08) 9224 0000 (08) 9221 2020
Level 5, Riverside Centre 123 Eagle Street Brisbane QLD 4000	Phone Fax	(07) 3835 4000 (07) 3832 4114
Level 30, Westpac House 91 King William Street Adelaide SA 5000	Phone	(08) 8113 5305