ASX Supervision is a division within ASX that supervises listed entities and market participants to support fair, orderly and transparent markets, fair and effective clearing and settlement facilities and overall financial system stability. ASX Supervision monitors and enforces compliance by listed entities with the ASX Listing Rules and by participants with the operating rules of the various markets and clearing and settlement facilities operated by the ASX Group.
ASX Supervision includes the following teams:
- Listings Supervision - monitors and enforces compliance by listed entities with the ASX Listing Rules and by investment product issuers with the ASX Operating Rules
- Participants Supervision - monitors and enforces compliance by participants with the operating rules of the various markets and clearing and settlement facilities operated by the ASX Group
- Enforcement - investigates and enforces compliance by listed entities and participants with the ASX Listing Rules and Operating Rules, including publishing determinations of non-compliance and issuing penalties to participants for breaches of the various markets, clearing and settlement facilities operated by the ASX Group
We deliver our stated purpose through:
- frontline supervision: overseeing the integrity and financial stability of our markets and participants
- active and visible engagement: building strong relationships with participants and issuers, and internal and external stakeholders to foster trust and collaboration
- supervisory excellence: proactive, risk-based oversight, active policy development, transparency and continuous improvement.
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