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Our Boards

 

The Board of ASX is ultimately accountable to shareholders for the performance of ASX. It is responsible for overseeing the conduct of the affairs of the Group, consistent with the Group's licence obligations and public policy objectives directed at financial market and payments system integrity.


The ASX Compliance Board performs a number of functions within the ASX Group:

  • monitor trends in financial markets, and global standards for admission requirements and compliance
  • review whether ASX Compliance’s processes remain ‘fit for purpose’ and aligned with ASX Group strategy and brand
  • make recommendations on matters that could impact on the strategy, brand or license obligations of the ASX Group, including key and emerging risks
  • oversee each ASX Group licensees’ compliance, enforcement and conflict handling obligations
  • approve and monitor the processes implemented by ASX Compliance to demonstrate that ASX Group Licensees have adequate arrangements for monitoring and enforcing compliance with their operating rules
  • review the appointment, performance and remuneration of the Chief Compliance Officer.

The Board is made up of independent non-executive directors, with three directors from ASX Limited and three non-ASX Limited directors. The Chair is Rick Holliday Smith, who is also Chair of ASX Limited. The Deputy Chair is Alan Cameron AO. The directors of ASX Compliance are listed below.

ASX has implemented robust controls and procedures to support its Conflict Handling Arrangements including Information Handling Standards to manage commercially sensitive information provided to ASX Compliance.


Other board members

The other independent directors of ASX Compliance are:

  • Mr Rick Holliday Smith (Chair)
  • Mrs Heather Ridout AO
  • Mr Damian Roche

Their biographies are available here.