ASX Referrals to ASIC
ASX works closely with ASIC, the government regulator responsible for monitoring and enforcing compliance with the Corporations Act and the Market Integrity Rules.
As a licensed market operator and provider of clearing and settlement facilities, ASX is obliged under the Corporations Act and under a Memorandum of Understanding with ASIC to notify ASIC of various matters, including any:
- suspected significant contraventions of the Corporations Act or the ASX operating rules;
- matters that may adversely affect the ability of a market participant to meet its obligations as a financial services licensee; and
- disciplinary action against a market, clearing or settlement participant for breaches of the ASX operating rules.
The Executive Office within ASX Compliance is responsible for co-ordinating ASX's referrals to ASIC in accordance with these requirements.
Information about the number and type of referrals made by ASX to ASIC are published in the ASX Compliance Monthly Activity Report. These are available in Media Releases.

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ASX Group offers primary market and trading services through the Australian Securities Exchange, clearing through ASX Clearing Corporation and settlement and depository services through ASX Setttlement Corporation.
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ASX Compliance oversees ASX Group's obligations as a market operator and clearing and settlement facility operator. This section contains all rules, notes and waivers pertaining to markets operated by ASX Group.
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