ASX Public Consultation

Algorithmic Trading and Market Access Arrangements: ASX review 

In July 2009, having observed sustained growth in algorithmic trading, the Australian Securities Exchange (ASX) initiated a review of algorithmic trading and market access arrangements (PDF 948KB) in Australia (‘the ASX Review’). The ASX Review was released on Monday 8 February 2010.

ASX information paper: Capital Raising in Australia

On 29 January 2010, ASX released an information paper on capital raising in Australia (PDF 314KB) and some other major markets during the global financial crisis.

ASX submission to Treasury on reforms to the supervision of Australia's financial markets

On Tuesday 22 December 2009, ASX provided the attached submission (PDF 168KB) to Treasury. The submission responds to Treasury's Exposure Draft and Consultation Paper "Reforms to the supervision of Australia's financial markets".

Listing Rule amendments - company policies on trading 'windows' and 'blackout periods'

ASX has released a market consultation document outlining proposed amendments to ASX Listing Rules relating to company policies about dealings in the company's securities by their directors and senior executives. Comments are sought by 26 February 2010.

ASX submission to ASIC on Clearing and Settlement Facilities

On Thursday 19 November 2009, ASX provided the attached submission (PDF 92KB) to ASIC. The submission responds to ASIC's Consultation Paper 120 Operators of Clearing and Settlement Facilities.

ASX submission to the Productivity Commission on executive remuneration

On 9 November 2009, ASX provided the attached submission (PDF 107KB) to the Productivity Commission in response to its Discussion Draft on Executive Remuneration in Australia.

ASX Corporate Governance Council letter to the Productivity Commission on executive remuneration - November 2009

On 9 November 2009, the ASX Corporate Governance Council provided the attached submission to the Productivity Commission (PDF 327KB) in response to its Discussion Draft on Executive Remuneration in Australia.

ASX Corporate Governance Council letter to the Productivity Commission on executive remuneration - May 2009

On 29 May 2009, the ASX Corporate Governance Council provided the attached submission to the Productivity Commission (PDF 70KB) in response to its issues paper on the Regulation of Director and Executive Remuneration in Australia.

ASX Position Paper: Transparency of Short Selling and Securities Lending

On 2 October 2008, ASX released a position paper on suggested measures to improve the transparency of short selling and securities lending activity in Australia. This paper was prepared in response to the Government's call for comments on its draft Corporations Amendment (Short Selling) Bill 2008. Transparency of Short Selling and Securities Lending position paper (PDF 129KB)

Notification of Listing Rule Amendments


On Thursday 11 September 2008, ASX released details of listing rule amendments expected to take effect in 2009.

Access to Central Counterparty (CCP) and Securities Settlement Facility (SSF) CHESS Services

As foreshadowed in the 19 March ASX Consultation Paper (PDF 91KB), on Friday 11 April ASX released an Issues Paper (PDF 90KB) to consult with ACH Clearing Participants on the "Impact of Multiple Trade Execution Platforms for ASX Listed Securities on ACH Clearing Participant Operations and Systems". ASX invites feedback by Monday 5 May 2008.

Short Selling

ASX has released a Short Selling Public Consultation Paper. ASX invites comments on the paper by Thursday 24 April 2008.  

Access to Central Counterparty (CCP) and Securities Settlement Facility (SSF) CHESS Services

On Wednesday 19 March 2008, ASX released "ASX Consultation Paper Access to Central Counterparty (CCP) and Securities Settlement Facility (SSF) CHESS Services No. 1".

Non-Voting Ordinary Shares

ASX has released a public consultation paper requesting feedback on a proposal for ASX to amend its listing rules to allow quotation of non-voting ordinary shares, subject to certain safeguards.  ASX is conducting this consultation in response to stakeholder requests, and has not yet formed a view with respect to this proposal. ASX invites submissions by Friday 7 March 2008.

2008 ASX Omnibus Listing Rule Amendments

ASX has released details of proposed omnibus listing rule amendments. ASX invites comments on any of the proposed listing rule amendments by Friday 15 February 2008.

ASX Submission to ASIC Consultation Paper 95: Competition for Market Services

On 29 January 2008, ASX forwarded the attached submission to ASIC in response to its Consultation Paper 95: Competition for market services - response to CP 86 and further consultation. 

ASX Submission to ASIC Consultation Paper 86: Competition for Market Services

On Friday 17 August 2007, ASX forwarded the attached submission to ASIC in response to its Consultation Paper 86: Competition for Market Services - trading in listed securities and related data.

2007 ASX Omnibus Listing Rule Amendments

    ASX has released details of proposed listing rule amendments. The changes are outlined in an Overview Document with a separate Exposure Draft setting out drafting amendments in mark-up. 

    These amendments are the result of rule reviews ASX has conducted over the past 18 months.

    ASX invites submissions on any of the proposed listing rule amendments and draft Guidance Notes by Friday 20 July 2007.

    ASX Supervisory Powers and Processes

       ASX has released a Participant Circular setting out the results of ASX's review of its Supervisory Powers and Processes.

      Approach to the Integration of Disciplinary Tribunals and Appeal Processes for the Australian Securities Exchange

        The merger of the former Australian Stock Exchange with SFE Corporation took effect in mid-July 2006. In early December 2006 the Group holding company changed its name to ASX Limited and the ASX Group launched its new Australian Securities Exchange brand. The merger and the development of the new ASX Group under the Australian Securities Exchange brand provided the catalyst for the review of the disciplinary and appeal processes across the ASX Group.

        The objective of the exposure paper is to outline the approach for the integration of disciplinary tribunals and appeal processes to be adopted by the licensed entities across the Australian Securities Exchange.

        The deadline for submissions closed on 16 May 2007.

        Please forward submissions to:

        Email regulatorypolicy@asx.com.au
        Fax + 61 2 9227 0917
        Post Australian Securities Exchange
        Regulatory Policy Unit
        Level 7, 20 Bridge St
        Sydney NSW 2000