A high-growth/low-inflation economy and robust political and economic institutions have helped Australia rank as the 14th largest economy in the world and the 4th largest in the Asia Pacific region.
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.
ASX Group recognises that its ability to achieve its commercial and operating goals is dependent upon the value its services deliver to customers. This section describes those services.
Underpinning ASX Group's long-term success as a market operator and provider of clearing and settlement services is its ability to reliably and fairly provide high-quality, high-performance systems and processes.
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.
A searchable repository of documentation, speeches and announcements relevant to ASX shareholders, market participants, the media, and the general public.Participants Compliance
Participants Compliance is responsible for:
Applications for admission as a participant
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 participants@asx.com.au.
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.
Monitoring and enforcing compliance
Participants Compliance plays a key role in monitoring and enforcing compliance with ASX's operating rules.
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.
Application for waivers
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.
Overview information
To assist in understanding ASX's processes around application, resignation and suspension please refer to the following information:
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Application Overview (PDF 59KB)
- Resignation Overview (PDF 62KB)
- Suspension of a Participant (PDF 108KB)
Contact details
Participants Compliance can be contacted by:
- emailing compliance@asx.com.au
- telephoning ASX's Sydney office on +61 2 9227 0000
- faxing +61 2 9227 0440
- writing to:
The General Manager, Participants Compliance
ASX Limited
Exchange Centre
20 Bridge Street
Sydney NSW 2000