Disciplinary Processes and Appeals Rules

 This Rulebook deals with disciplinary, tribunal and appeal matters including:

  • the taking of disciplinary action and the conduct of proceedings before a Disciplinary Tribunal following commencement of disciplinary action by an ASX Licensee or appeal by an ASX Licensee or a Regulated Person under any of the Operating Rules;
  • the exercise of powers of a Disciplinary Tribunal where a Regulated Person has breached the Operating Rules or Procedures;
  • the process of appeal to an Appeal Tribunal;
  • enforcement action including the power of ASX to suspend or terminate a Regulated Person;
  • the consolidation of proceedings and appeals; and
  • the recording and announcement of determinations made by the Tribunals.

This Rulebook also deals with the establishment and composition of the Tribunal Panels, a Disciplinary Tribunal and an Appeal Tribunal and sets out:

  • the powers of those Tribunals; and
  • how proceedings before a Disciplinary Tribunal and an Appeal Tribunal are to be conducted.

Below you will find a list of sections which are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

The sections are available to view only and cannot be printed.

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772.

Description
Section 01 Scope of Rulebook (PDF 136KB)
Section 02 Disciplinary Action  (PDF 114KB)
Section 03 Appeals  (PDF 122KB)
Section 04 ASX Announcement and Imposition of Penalty  (PDF 59KB)
Disciplinary Processes and Appeals Rules Procedures  (PDF 148KB)
Disciplinary Processes and Appeals Rules Procedures Annexure A  (PDF 101KB)
Guidance Note 01 - Disciplinary Proceedings  (PDF 128KB)

 
There have been consequent amendments to all the other rule books.  The marked-up changes can be viewed here.

To view the ASX and SFE Rulebooks as they were before the introduction of the new Disciplinary Processes and Appeals Rulebook (for the purposes of the Transitional Provisions of the new rulebook) follow the links below:

ASX Listing Rules

ASX Market Rules

ACH Clearing Rules

ASTC Settlement Rules

SFE Operating Rules (PDF 3,309KB)

SFE Clearing Corporation Rules (PDF 715KB)

Austraclear Regulations (PDF 818KB)