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Listings Compliance is responsible for:

Applications for admission to the ASX Official List

Enquiries about listing on ASX can be directed to a Listings Compliance representative in any ASX office (contact details below) or by emailing

View further information about an ASX listing.


Applications for quotation of warrants and AQUA products

Enquiries about having a warrant or AQUA product quoted on ASX can be directed to a Warrants and AQUA representative in the Sydney office or by emailing

View further information about ASX's warrants and AQUA product markets.


Monitoring and enforcing compliance

Listings Compliance plays a key role in monitoring and enforcing compliance with the ASX Listing Rules and with the ASX Operating Rules that govern the quotation of warrants and AQUA products.

Listings Compliance allocates a dedicated Listings adviser to each listed entity. A key part of the adviser’s role is to establish and maintain a good working relationship with the relevant officers of the listed entity and to become knowledgeable about the entity 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.

The requirement for listed entities to disclose material information in a timely manner is particularly important to the orderly conduct and reputation of ASX’s markets. Listings Compliance also has a dedicated Surveillance team which uses sophisticated technology systems to monitor trading in listed securities to identify situations where trading may be taking place and the market is not reasonably informed. Where such situations are identified, a Listings Compliance adviser will contact the listed entity to explore whether it is in possession of information that ought to be announced to the market.

ASX Listing Rules Guidance Note 8: Continuous Disclosure has further details about ASX's continuous disclosure regime.

ASX has also published an abridged guide on its continuous disclosure rules that readers may find of assistance.


Applications for waivers

In an appropriate case, ASX may waive compliance with a Listing Rule or with an Operating Rule governing the approval of Warrants Issuers and AQUA Product Issuers. 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 wiavers tab on the Listing Rules, Guidance Notes and waivers page.

Applications for a waiver of these rules should be addressed to Listings Compliance (contact details below).

ASX Listing Rules Guidance Note 17: Waivers from ASX Listing Rules and ASXOperating Rules Guidance Note 16: Waivers of ASX Operating Rules - Warrant Issuers and AQUA Product Issuers set out further information on how decisions are made in relation to waiver applications.

Listed@ASX Compliance Updates

Listings Compliance publishes Compliance Updates (formerly Listed Entities Updates) by email to advise listed entities of market developments, including proposed changes to ASX Listing Rules and Guidance Notes, and to provide guidance on topical or emerging compliance issues.

Compliance Updates will be of interest to:

  • company secretaries
  • communications/investment relations managers
  • general counsel
  • local agents for foreign companies.

Listed entities can have Compliance Updates sent to staff members simply by entering their email details in the "Your Details" section on ASX Online. They will automatically be added to our subscription list.

Alternatively anyone (including lawyers and other professional advisers) can ask to be added to the Compliance Updates subscription list by emailing or receive it by downloading the Listed@ASX app from the Apple app store. The Listed@ASX app will give you easy access to Compliance Updates on your mobile device and also allow you to access other ASX business-to-business content. If you have notifications turned on, the app will also notify you when a new update is released.

Past editions can be viewed here.

Contact details

Listings Compliance can be contacted at:

Exchange Centre
20 Bridge Street
Sydney NSW 2000


(02) 9227 0000
(02) 9241 7620

Level 4, Rialto North Tower
525 Collins Street
Melbourne VIC 3000


(03) 9617 8611
(03) 9614 0303

Level 40, Central Park
152-158 St George's Terrace
Perth WA 6000


(08) 9224 0000
(08) 9221 2020


Market news

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