ASX Markets Supervision Education and Research Program

What is the ASX Markets Supervision Education and Research Program (ASXMSERP)?

As a measure to manage potential conflicts of interest, in June 2007 ASX announced that the proceeds of fines and settlements from its Disciplinary Tribunals (less certain expenses in taking matters before the Tribunals), would go towards a research and education program.  The program was established in late 2007 and called the ASX Markets Supervision Education and Research Program.

Mission statement

To raise awareness of and promote compliance with ASX’s supervisory requirements.

Terms of reference

To undertake activities which are in the best interests of ASX’s stakeholders and which:

  • raise awareness of ASX supervisory requirements; or
  • improve the ability of market participants to comply with ASX’s supervisory requirements; or
  • educate the market on trends and issues in supervision; or
  • contribute to better compliance and knowledge culture within ASX’s stakeholder groups.

Examples of educational activities ASX currently conducts within the ambit of its "core" supervisory activities, and therefore activities which would not be funded from this program, include the following:

  • Rule amendments and Guidance Notes;
  • supervisory roadshows;
  • companies updates; and
  • compliance newsletters.

What’s on

Issuers

Coming up:

  • Listed company seminars on continuous disclosure and corporate governance: Melbourne, October 2008 and Sydney, November 2008.
  • Course for directors on being a director of a listed company.  This course is being developed jointly with AICD and is expected to be released around October 2008.
  • Face-to-face seminars on Listing Rule 3.1 2Q 2008.
  • On-line course on Listing Rule 3.1.  This course is currently under development.  It is expected to be available in Q3 2008.
  • Seminar on revised corporate governance principles in 3Q 2008.
  • An educational event to coincide with ASX Markets Supervision hosting the international Chief Regulatory Officers' Conference in September 2008.

Previous events:

Presentation title Speaker Slides (PDF) Audio (MP3)
Disclosure and the role of ASX Eric Mayne, Chief Supervision Officer, ASX  PDF (124KB) MP3 (7.1MB)
Disclosure and the role of ASX and ASIC Belinda Gibson, ASIC Commissioner PDF (355KB) MP3 (6.5MB)
Corporate Governance Eric Mayne, Chief Supervision Officer, ASX PDF (144KB) MP3 (5.5MB)
ASX and ASIC - Listed Companies James Rowe, Manager, Issuers (Perth) PDF (82KB) MP3 (2.8MB)
JORC, History, ASIC Regulatory Issues
and International Comparisons		 John Price, Executive Director, ASIC PDF (321KB) MP3 (4.6MB)

JORC Code matters

 Peter Stoker, Chariman, JORC PDF (233KB) MP3 (3MB)

Participants

Coming up:

  • On-line course materials to assist individuals in studying to attain the Designated Trading Representative accreditation.  This course is currently under development and is expected to be available in 3Q 2008.
  • Following the above further on-line courses will be developed to assist participants in training staff on ASX compliance obligations.
  • An educational event to coincide with ASX Markets Supervision hosting the international Chief Regulatory Officers' Conference in September 2008.
    Suggestions & feedback

    If you have an idea for supervision oriented education which would be useful to ASX’s stakeholder groups or if you have participated in any of the activities in the program and would like to comment to us on your experience you can contact us as follows:

    Email:  asxmserp@asx.com.au or write to:

    ASX Markets Supervision Education and Research Program
    Australian Securities Exchange Limited
    Level 1, 20 Bridge St
    Sydney  NSW 2000
    Facsimile: 02 9227 0428