Complaints involving ASX

ASX is committed to addressing complaints and in many cases the information provided can assist us to ensure that:

  • Our market remains fair, orderly and transparent, and 
  • Our clearing and settlement facilities remain fair and effective, and 
  • Participants, such as stockbrokers and financial institutions, are complying with their obligations under the ASX Rules.

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.

An ASX officer will investigate the complaint and respond to you.

To assist us in helping you, we ask that you follow a simple three step process:

  • Gather all documents that support the complaint.
  • Make the complaint in writing, setting out adequate details of the complaint and include copies of any supporting documentation. You may wish to complete the  ASX complaint form to assist in this process.  If you are unable to download the ASX complaint form, you can contact ASX Customer Service on 131 279 or (02) 9338 0000 to obtain a copy.
  • Lodge the complaint by any of the following means:

Customer Service
ASX Limited
PO Box H224
Australia Square  NSW  1215

    • or by sending your complaint by facsimile to (02) 9227 0885.

ASX will endeavour to acknowledge your complaint within two business days of its receipt and will work towards responding to your concerns as quickly as possible. However, as some matters may be more complex, they may take a little longer to address. If this is the case, you will be kept informed on the progress of the complaint by telephone, email or letter.

If the complaint is not dealt with by the ASX to your satisfaction, you may refer the complaint to the Australian Securities and Investments Commission (ASIC).

The contact details for ASIC are:

ASIC Complaints
Australian Securities and Investments Commission
PO Box 9149
Traralgon, VIC 3844

Phone: 1300 300 630 or (61 3) 5177 3988
Fax: (61 3) 5177 3749
Web: http://www.asic.gov.au