ASX Limited and its related bodies corporate (the “ASX Group” or “ASX”) is bound by the Australian Privacy Principles (“APP” or “Principles”) as set out in the Privacy Act 1988 (Commonwealth). The following provide a clear and concise outline of ASX's Privacy Policy: how and when Personal Information is collected, stored and distributed by the ASX Group.

Why does ASX collect Personal Information?

As a listed entity, market operator and CS facility operator, ASX has certain statutory obligations imposed on it under the Corporations Act. Under ASX’s Operating Rules, ASX may collect, use and disclose Personal Information in order to be able to effectively discharge these obligations.

As a receiver and provider of services to third parties, ASX may be required to collect, use and disclose Personal Information to discharge contractual obligations and in relation to potential employees during the recruitment process.

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How does ASX collect Personal Information?

The type of Personal Information ASX collects may include: names, addresses, contact details, occupations and any other information required to meet contractual obligations and statutory obligations as a market operator and CS Facility operator, in the provision of services or in relation to recruitment.

Personal Information is collected in a variety of ways, including by way of personal contact such as business activities and events, as well as mail, telephone, email and internet. In some circumstances the ASX Group may be provided Personal Information about an individual from a third party.

We may collect Personal Information about:

  • Individuals;
  • Shareholders;
  • Suppliers;
  • Employees;
  • Listed entities, Participants and Issuers;
  • Candidates for employment;
  • Potential new Participants/clients;
  • Third parties seeking services; and
  • Other people who come into contact in the ordinary course of business.

Please notePersonal information is collected by ASX to facilitate the effective provision of a service or product. Failure to provide this information to ASX is likely to prevent ASX from being able to effectively process and respond to you.

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How does ASX use and disclose Personal Information?

ASX may use or disclose Personal Information for the following purposes:

  • To enable it to discharge its statutory obligations;
  • To enable it to discharge its licence obligations as a market operator and as a clearing and settlements facility;
  • To enable it to discharge its contractual obligations when providing products and services to third parties;
  • To provide investor education services;
  • To service shareholders;
  • To service ASX customers;
  • To provide administration for ASX employees;
  • To enable the resolution of a concern or complaint;
  • To provide ongoing information about our products and services to people that we believe may be interested;
  • To consider applications for employment; and
  • To provide products and services.

ASX will only use your Personal Information for the purpose for which you have provided it. We will not disclose your Personal Information to third parties, unless you consent or in other circumstances where such disclosure is required or authorised by law.

Contracts we enter into with other parties for the provision of services may require us to disclose your Personal Information to them. In those cases, our contracts require other parties providing services to us to observe the terms of this Privacy Policy.

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Does ASX transfer Personal Information overseas?

ASX does not generally transfer personal information to overseas parties unless required by law or enforcement activity or unless working with international service providers. ASX may exchange or store personal information with vendors who have been contracted to provide customer relationship systems and technological solutions. These third party service providers may be located in Australia, USA, Japan and other countries.  While these parties will be subject to confidentiality, they are not required to comply with the Australian Privacy Act and may have different disclosure requirements under their local laws. Although information is encrypted where possible and efforts are made to protect your information, when you agree to this Privacy Policy you acknowledge that the ASX will not be responsible for the overseas third party. The list of countries may change from time to time.

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Does ASX collect sensitive information and use of Government Identifiers?

ASX does not collect sensitive information about an individual unless the individual has consented or it is required by law. Sensitive information covers Personal Information such as an individual’s race or ethnic origin; political opinions, membership of a political association; religious beliefs or affiliations; philosophical beliefs; membership of a professional or trade association membership of a trade union; sexual preferences and practices; criminal record; or health information.

Government identifiers (eg TFNs) will generally not be used unless required by law or necessary to complete a transaction or service.

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How does ASX manage Personal Information?

ASX takes reasonable steps to protect Personal Information it holds from misuse, interference and loss and from unauthorised access, modification or disclosure. Where Personal Information is no longer required for the purpose for which it was collected reasonable steps will be taken to destroy or permanently de-identify the information. Unsolicited Personal Information received from third parties that does not serve an appropriate purpose will be destroyed.

Personal Information is held for a period of up to seven years, depending on the nature of the information being held.

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How to access your Personal Information?

ASX will take reasonable steps to ensure that Personal Information held about you is accurate, complete and up to date. You may request access or correction to Personal Information held by the ASX by writing to the Chief Privacy Officer. Exceptions may apply as outlined in the APPs. A fee may be charged for providing access.

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Web site collection and Direct Marketing

ASX Group collects Personal Information from the web site through receiving subscriptions or registration of courses, games and services. Cookies are used on the web site in the following ways:

  • To authenticate access to certain areas of the web site, such as MyASX section, the customer portal and ASXOnline;
  • To monitor traffic levels and flows; and
  • From time to time ASX may conduct surveys

Information is recorded into our server log which is provided by your browser. This information is logged for statistical purposes only. Where possible, ASX will use pseudo names to protect an individual’s anonymity. However, there will be circumstances where ASX will not be able to provide a service unless your personal information is provided.

We will try not to identify you except, in the event of an investigation, where a law enforcement agency may exercise a warrant to inspect the service provider’s logs; if your usage is causing technical issues for our website which may need to be resolved; or where you may have won in a game. In these circumstances, we may need to identify you to contact you. We will review browsing activities to be able to provide better products and services and ASX partners with Dianomi for ad serving. For more information on ad serving and information on ‘Opting-out’ please visit

We may also from time to time email you about an event or new feature/service that we think might be of interest. If you do not wish to receive such emails, all you have to do is unsubscribe or opt-out.

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Notification of Collection of Personal Information

ASX will notify you at the time of collecting Personal Information.  The Notification of Collection statement covers the following:

This information is collected by ASX to facilitate the provision of a product or service. Failure to provide this information to ASX is likely to prevent ASX from being able to offer you the product or service. Should you wish to, you can access the information you provide to ASX by contacting the ASX. ASX may from time to time use external service providers but will not disclose personal information you provide to any other organisations or individuals, unless required or authorised by law to do so or unless you consent to the disclosure. ASX does not generally provide personal information to overseas parties but does use international service providers for technological solutions. If you would like to contact us or lodge a complaint please refer to the ASX's Privacy Policy for further details.

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Avoiding Phishing and Scams

If you are a broker-sponsored investor on ASX, we will hold your personal and financial information in CHESS, our clearing and settlement facility. This information will include your HIN (Holder Identification Number), your name, address and any email address, your residency status and the financial products you hold in CHESS. When communicating with ASX, we may ask you to confirm those details to assist us with identification. However, we will never ask you to provide other personal or financial information such as passwords, date of birth, bank account balances, portfolio balances or your personal bank account details, or instruct you to pay funds into third party bank accounts.
If you receive a communication from someone who claims to be from ASX and who asks you to provide your personal or financial information, this may indicate that you are the target of a scam. If this happens to you, please immediately report this to ASX by calling 131 279 or by sending the details to us at

Your prompt action can assist us to minimise the impact to other market users of ASX-related scam activity.  
You can report any non-ASX related scam activity to SCAMwatch (a scam reporting website run by the Australian Competition and Consumer Commission) at

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Links to other Sites

This site links to other sites. ASX is not responsible for the privacy practices or the content of such web sites.

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Contact Us

ASX has appointed a Chief Privacy Officer to manage privacy enquiries and complaints; they can be contacted by phone, post or email at:


ASX Limited
Level 6
20 Bridge Street

Telephone: 131 279 

You can also obtain information at the Office of the Australian Information Commissioner’s website at

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Updates to this Privacy Statement

This Privacy Statement will be reviewed from time to time as required.

Dated: December 2015

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