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ASX enforcement rulebook

This Rulebook deals with enforcing compliance with the Operating Rules and appeal matters including:
  • the taking of enforcement action (including exercise of powers) by an ASX Licensee where a Relevant Person has breached the Operating Rules;
  • appeals available to a Relevant Person under any of the Operating Rules;
  • the process of appeal to an Appeal Tribunal;
  • the consolidation of enforcement actions and appeals; and
  • the recording and announcement of actions and determinations made by ASX and the Appeal Tribunal.

This Rulebook also deals with the establishment and composition of the Appeal Tribunal Panel and an Appeal Tribunal and sets out:

  • the powers of Appeal Tribunals; and
  • how proceedings before an Appeal Tribunal are to be conducted.

Below you will find a list of sections which are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

The sections are available to view only and cannot be printed.

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772.

Description
Section 01 Scope of Rulebook
Section 02 Enforcement Action
Section 03 Appeals
Section 04 ASX Announcement and Imposition of Penalty
Enforcement and Appeals Rules Procedures
Enforcement and Appeals Rules Procedures Annexure A
Guidance Note 01 - Enforcement Action and Appeals from Enforcement Decisions

To view the Australian Securities Exchange Disciplinary Processes and Appeals Rulebook (now ASX Enforcement and Appeals Rulebook) as it was before the changes made on 1 August 2010, for the purposes of disciplinary and appeals processes for conduct prior to 1 August 2010, follow the link below:

Australian Securities Exchange Disciplinary Processes and Appeals Rulebook.