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 and supervisory issues in ASX's markets, and to promote the integrity of ASX's markets and promote confidence in their integrity. 

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 a better understanding of supervisory issues and trends in ASX's markets and globally;
  • contribute to better compliance and knowledge culture within ASX’s stakeholder groups; or
  • otherwise promote the integrity of ASX's markets and confidence in the integrity of ASX's markets.

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;
  • companies updates; and
  • compliance newsletters.

Coming up

  • The Listed Company Director Course - duties and responsibilities of directors within the listed company environment.  Obligations of the listing rules, consequences of non-compliance.  Audience: new and existing board members of listed companies. Course details and dates are available at www.companydirectors.com.au.  Further information - PDF 440KB.
  • Capital Monitoring Workshop - date(s) and location(s) to be advised (1st half 2010).  Obligations and regulations in the capital monitoring regime of ASX/ACH participants.  Audience: ASX/ACH participants who have capital monitoring responsibilities - people who prepare returns, CFO’s and other finance staff, compliance staff, responsible executives.
  • Compliance Course - date(s) and location(s) to be advised (1st half 2010).  Overview of the Compliance and Risk framework, internal control systems and other techniques which mitigate, control and resolve risks under the ASX Operating Rules.  Audience: Compliance Officers, Risk Officers, Responsible Executives, Team Leaders.

Previous events

Where presentations or audio files are available for previous events, they can be viewed here.

Research

ASX Markets Supervision is willing to consider requests for research funding provided the research outcomes comply with the mission statement and terms of reference.  Any request should be forwarded to the below address.

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
ASX Limited
Level 1, 20 Bridge St
Sydney  NSW 2000
Facsimile: 02 9227 0428