ASX Compliance is responsible for overseeing 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. It has delegated authority to make certain compliance and enforcement decisions on behalf of the ASX Group licensees.
ASX Compliance is comprised of three functional units:
- Listings Compliance
- Participants Compliance
- Executive Office, which administers:
The Listings Compliance and Executive Office functions report to Kevin Lewis, Group Executive and Chief Compliance Officer, and Participants Compliance to Hamish Treleaven, Group Executive and Chief Risk Officer.