Participants Compliance is responsible for:
- Processing applications for admission as a participant to ASX markets and clearing and settlement facilities
Enquiries about becoming a participant of an ASX market or clearing and settlement facility can be directed to ASX Customer Management (+61 2 9227 0787) or by emailing email@example.com.
For further information about becoming a participant of an ASX market or clearing and settlement facility, go to http://www.asx.com.au/professionals/participants.htm.
Participants Compliance allocates a dedicated compliance adviser to each participant. A key part of the adviser's role is to establish and maintain a good working relationship with the relevant officers of the participant and to become knowledgeable about the participant 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.
In an appropriate case, ASX may waive compliance with an operating rule. Waivers are published by ASX periodically in a waivers register and are also advised to ASIC. Copies of waivers granted can be viewed by clicking on the relevant rule book on the Rules, Guidance Notes and waivers page and then clicking on the waivers tab.
Applications for a waiver of an operating rule should be addressed to the Participants Compliance (contact details below).
Guidance Note 15: Waiver of ASX Operating Rules - Participants (PDF 93KB) provides further details of how decisions are made in relation to waiver applications.
To assist in understanding ASX's processes around application, resignation and suspension please refer to the following information:
Application Overview (PDF 59KB)
- Resignation Overview (PDF 62KB)
- Suspension of a Participant (PDF 108KB)
Participants Compliance can be contacted by:
- emailing firstname.lastname@example.org
- telephoning ASX's Sydney office on +61 2 9227 0000
- faxing +61 2 9227 0440
- writing to:
The General Manager, Participants Compliance
20 Bridge Street
Sydney NSW 2000