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.

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.

ASXMS Annual Report

Recognising that transparency is a key ingredient in engendering investor confidence, the ASXMS Board publishes a stand-alone Annual Report detailing the structure of ASXMS and its supervisory activities throughout the year. 

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:

Date Speech & Event
2009   
02/12/09 AIRA Annual Conference (PDF 253KB).  Speech by Eric Mayne, Chief Supervision Officer, ASX Markets Supervision
29/05/09  SDIA Conference: Global Financial Crisis - Supervisory Challenges by David Lawrence, General Manager, Participants (PDF 1.14MB)
29/05/09  SDIA Conference: Getting the Supervisory Balance Right (PDF 50KB) by Eric Mayne, Chief Supervision Officer, ASX Markets Supervision
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 

More ASX speeches and presentations