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Supervision Publications and Statements

ASX provides both Participants and issuers with updates on regulatory information.  Chief Supervisory Officer, ASX Markets Supervision and the General Managers of Issuers, Participants and Enforcement make speeches and statements on regulatory matters.  ASX, through its Regulatory Policy Unit, also responds to regulatory consultations by government, parliamentary committees and other bodies.

Participant updates

In addition to formal communication by way of Rules, Procedures, Guidance Notes and daily bulletins, ASX provides an informal quarterly newsletter on topical issues relating to compliance with the Rules to all Participants called Compliance In Focus.

• Compliance in Focus - Autumn 2008 (PDF 230KB)
• Compliance in Focus - Summer 2007 (PDF 164KB)
• Compliance in Focus - Spring 2007 (PDF 164KB)
• Compliance in Focus - Winter 2007 (PDF 166KB)

Company updates

Companies Updates are email alerts sent to companies to advise of market developments, policy changes and proposed changes to ASX Listing Rules.  Past editions of Companies Updates are available at the Companies Updates site.

Speeches

The CEO of ASX, Group Executive Market Supervision and General Managers - Issuers, Participants and Enforcement make speeches and presentations on various aspects of ASX Markets Supervision supervision.  The most recent presentations and speeches are below:

2008

• 22/05/08 - SDIA Conference - ASX Markets Supervision (PDF 883KB).  Speech by Eric Mayne, Chief Supervision Officer and David Lawrence, General Manager, Participants at the SDIA Annual Conference in Melbourne
• 18/03/08 - Private Equity Australia:  ASX's Key Regulatory Principles (PDF 412KB).  Speech by Eric Mayne, Chief Supervision Officer, ASX Markets Supervision, BRW, 18 March 2008.

2007

• 25/09/07 - Benchmarking Stock Exchange Practices (PDF 57KB).  Speech by Eric Mayne, Chief Supervision Officer, ASX Markets Supervision at the CRO Conference in Frankfurt
• 02/08/07 - Speech by Eric Mayne, Chair of the ASX Corporate Governance Council (PDF 44KB) at the launch of the revised Corporate Governance Principles and Recommendations.
• 22/07/07 – Legal & Regulatory Reform Consultation – An ASX Perspective (PDF 61KB).  Speech by Eric Mayne, Chief Supervision Officer, ASX Markets Supervision at the Corporations Law Workshop, Adelaide.
• 07/06/07 - Review of Council’s Corporate Governance Principles & Recommendations (PDF 106KB).  Speech by Eric Mayne, Chief Supervision Officer, ASX Markets Supervision at the Victorian Chartered Secretaries Annual Corporate Update.
• 01/06/07 - ASX Markets Supervision - Looking Forward (PDF 600KB) Speeches by Eric Mayne, Chief Supervision Officer, ASX Markets Supervision and David Lawrence, General Manager - Participants at the 2007 SDIA Conference 

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The Australian Securities Exchange operates the Australian Stock Exchange and the Sydney Futures Exchange and facilitates trading in securities and derivatives such as shares, futures, options and warrants. ASX also provides market data, for example share prices, and related information including stock market announcements and market education.