General Counsel and Company Secretariat

The Office of General Counsel and Company Secretariat includes the Legal, Company Secretariat and Regulatory Assurance teams.

ASX Legal and Company Secretariat

ASX Legal provides legal advice and services to all functions across the ASX Group. Company Secretariat provides company secretarial services across the ASX Group.

Regulatory Assurance

The Regulatory Assurance team provides the ASX Group with an assurance function in relation to its Corporations Act licence obligations. These licences are the franchises which are needed to operate a vertically integrated exchange group within the jurisdiction of the key Australian regulatory authorities ASIC and RBA.

In conjunction with Enterprise Risk, the Regulatory Assurance team is responsible for the development and maintenance of framework policy, monitoring, review and reporting mechanisms to promote and assist ASX’s management of its licence obligations and other statutory obligations.  Regulatory Assurance also partners with Internal Audit in respect of participation in joint reviews. The team is also responsible for the provision of advice in relation to findings and observations arising from reviews.  Legal Counsel assisting the Tribunals report to the General Manager Regulatory Assurance.