Enforcement action against ASX participants
The Enforcement unit within ASX Compliance is responsible for bringing enforcement action against market, clearing and settlement participants for breaches of ASX's operating rules.
Enforcement decisions are generally made by the ASX Chief Compliance Officer (CCO) in accordance with the ASX Enforcement and Appeals Rulebook.
A participant dissatisfied with an enforcement decision by the CCO can generally appeal that decision to the ASX Appeal Tribunal. The specific types of decisions that can be appealed to the Tribunal and the process and timeframe for appealing them are set out in section 3 of the ASX Enforcement and Appeals Rulebook.