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ASX referrals to ASIC

ASX works closely with ASIC, the government regulator responsible for supervising all markets and clearing and settlement facilities in Australia and for policing compliance with the Corporations Act and the Market Integrity Rules.

As a licensed market operator and provider of clearing and settlement facilities, ASX is obliged under the Corporations Act and under a Memorandum of Understanding with ASIC to notify ASIC of various matters, including any:

  • suspected significant contraventions of the Corporations Act or of ASX's listing rules or operating rules;
  • matters that may adversely affect the ability of a market participant to meet its obligations as a financial services licensee; and
  • disciplinary action against a market, clearing or settlement participant for breaches of ASX's operating rules.

The Executive Office within ASX Compliance is responsible for co-ordinating referrals to ASIC in accordance with these requirements.

Information about the number and type of referrals made by ASX to ASIC are published in the ASX Compliance Monthly Activity Report.  These are available in Media Releases.

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