ASX Compliance
ASX Compliance 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
About ASX Compliance
ASX Compliance is a specialist function established by ASX to monitor and enforce compliance with the rules governing ASX's markets and clearing and settlement facilities. It has three divisions:
- Listings Compliance - monitors and enforces compliance by listed entities with the ASX Listing Rules and by investment product issuers with the ASX Operating Rules
- Participants Compliance - monitors and enforces compliance by participants with the Operating Rules of the various markets and clearing and settlement facilities operated by the ASX Group
- Executive Office - manages the Enforcement function, provides support to the ASX Corporate Governance Council and administers the ASX Compliance Education and Research program.