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Enquiries and Complaints

ASX is committed to addressing complaints and enquiries provided in a timely manner.  In many cases the information can assist us to ensure that:

  • our market remains fair, orderly and transparent
  • our clearing and settlement facilities are fair and effective, and
  • participants and entities listed on ASX are complying with their obligations under the ASX Rules.

Can ASX assist with my complaint?

In order to attend to your enquiries and resolve your issues quickly, it is important for you to address your questions or concerns to the right organisation. Some matters relating to the participants and entities listed on ASX may not be something that ASX can assist with. 

Matters where ASX may be able to assist:

  • concerns that a participant (ie a stockbroker) may have breached the ASX Operating Rules
  • concerns that an entity listed on ASX (ie a listed company or trust) may have breached the ASX Listing Rules, such as its continuous disclosure obligations
  • some questions regarding your CHESS Holding Statements, and
  • concerns about the operation of the ASX markets and clearing and settlement facilities, including how ASX undertakes its activities.

If your matter relates to any of the above, please refer to how to contact us for further details.

Matters where ASX is unable to assist: You may be able to obtain assistance by contacting:
Concerns that a person may have breached:
  • the ASIC Market Integrity Rules including potential
    • stock price manipulation;
    • client order instructions;
    • client order priority;
    • provision of confirmation notes / contract notes
  • the Corporations Act including
    • provision of advice and quality of advice
    • potential insider trading,
    • stock price manipulation,
    • short selling,
    • margin lending,
    • false and misleading information,
    • stock lending and borrowing
    • directors’ duties
    • Prospectus requirements and other disclosure obligations
Australian Securities and Investments Commission (ASIC)
Website: www.asic.gov.au
Phone - 1300 300 630
Non-ASX traded products and services, such as
  • unlisted Contracts for Difference (CFDs)
  • margin lending and stock lending arrangements;
  • transactions in shares on other exchanges (including overseas markets), foreign exchange transactions;
  • investments in unlisted funds;
  • cash management accounts or other fixed interest products.
  • The participant directly; or
  • If you are not satisfied with the outcome, contact an approved complaints resolution scheme, such as the Financial Ombudsman Service

These products and services may be provided by stockbrokers, but which ASX cannot address as they are not covered by the ASX Rules.

If you are seeking compensation for financial loss suffered in relation to a participant’s conduct:
Quality of service provided by the Participant
  • The participant directly; or
  • If you are not satisfied with the outcome, contact an approved complaints resolution scheme, such as the Financial Ombudsman Service
Listed entity (where the potential breach relates to breaches of the Corporations Act or other legal obligations unrelated to the ASX Rules)
  • The entity directly
  • If your concern relates to specific contractual obligations between you and the listed entity, you should seek legal advice
If you have a complaint in relation to a share registry
  • The share registry directly
  • If the registry is unable to satisfactorily resolve your complaint you may wish to contact the company or trust in which you have invested. Contact details for ASX Listed Companies and Trusts can be accessed via the Company Research page.

How to contact us

The scope of ASX’s role is to consider whether a complaint may indicate a possible breach of the ASX Rules and to ensure that participants and listed entities are in compliance with these Rules.

Complaints involving participants or companies

If you believe your complaint involves a potential breach of the ASX Rules or you have a concern about the enforcement of those Rules, you may:

  • Complete the ASX complaint form. If you are unable to download the ASX complaint form, you may contact ASX Customer Service on 131 279 or (02) 9338 0000 to obtain a copy;
  • Attach a written copy of your enquiry or complaint; and
  • Attach all supporting documentation.

Once you have completed the form, return the form, written copy of the enquiry or complaint and all supporting documentation to: 

Customer Service
ASX Limited
PO Box H224
Australia Square NSW 1215
Fax: (61 2) 9227 0885
Email: info@asx.com.au

CHESS complaints

If you have a complaint regarding the CHESS service or the nominee services of CHESS Depositary Nominees Pty Limited, please advise us, so that we have the opportunity to resolve the problem.

An ASX officer will review the complaint and respond to your complaint.

To assist us in helping you, it would be appreciated if the following steps could be followed when making the complaint:

  • Gather all documents that support the complaint.
  • Make the complaint in writing, setting out adequate details of the complaint and include copies of the supporting documentation. 
  • Lodge the complaint by either sending an email to: Chesshelp@asx.com.au, or writing a letter to:

in the case of the CHESS Service to:
The Manager
ASX Settlement Pty Limited
Level 4, 20 Bridge Street
SYDNEY NSW 2000

in the case of the Nominee Service to:
The Manager
CHESS Depositary Nominees Pty Limited
Level 4, 20 Bridge Street
SYDNEY NSW 2000

or by completing and forwarding the ASX complaint form by email or facsimile (02) 9227 0265.

Complaints about ASX

If you have a complaint regarding ASX or how it is performing its role as market operator or provider of clearing and settlement facilities, please tell us so that we have the opportunity to address your concerns, you may

  • Complete the ASX complaint form.  If you are unable to download the ASX complaint form, you may contact ASX Customer Service on 131 279 or (02) 9338 0000 to obtain a copy;
  • Attach a written copy of your enquiry or complaint; and
  • Attach all supporting documentation.

Once you have completed the form, return the form, written copy of the enquiry or complaint and all supporting documentation to: 

Customer Service
ASX Limited
PO Box H224
Australia Square NSW 1215
Fax: (61 2) 9227 0885
Email: info@asx.com.au

What we aim to do when you make a complaint

We recommend that you put your complaints and enquiries in writing. However, we may assist you with this process if you prefer to call.

Our aim is to respond promptly to all complaints. For:

  • complaints about a possible breach by a third party (such as a listed company , warrant issuer, AQUA product issuer or ASX broker or other participant) of ASX’s listing rules or operating rules, we aim to review the complaint and let you know whether we are intending to take action under the rules to investigate the matter within 5 business days
  • complaints about a failure by ASX Compliance to enforce ASX’s listing rules or operating rules, we aim to review the complaint and formally respond to you within 5 business days
  • other complaints, we aim to acknowledge them within two business days of receipt and send a final response to you within 21 business days. 

We can only act upon a breach of the ASX Rules. ASX may commence compliance and enforcement action against a participant and listed entity and may also refer the matter to ASIC.  As ASX’s activities are subject to confidentiality obligations, we cannot provide you with details of ASX’s actions unless those findings are made public. Nevertheless, we can assure you that your concerns will be reviewed and appropriate action taken if necessary.

If you have made a complaint about a participant or a listed entity, this will not be disclosed to any external parties without your authorisation unless ASX is required by law to do so.  It is important to note that where we have not received your express authorisation to disclose your complaint to any external parties there maybe limitations to the action ASX can take to investigate the circumstances of your complaint.

ASX may refer your complaint to ASIC if the substance of your complaint relates to matters within ASIC’s jurisdiction. Please indicate in the complaint form if you wish to provide consent to forward your complaint to ASIC if necessary.

What happens if I am not happy with the way ASX has handled my complaint?

If you are not satisfied with the way ASX has handled your complaint, you may contact ASIC on 1300 300 630