The Executive Office in ASX Compliance is responsible for bringing enforcement action against market, clearing and settlement participants for breaches of ASX's operating rules.

Enforcement decisions are made in the first instance by the ASX Chief Compliance Officer (CCO) in accordance with the ASX Enforcement and Appeals Rulebook. A right of appeal lies from decisions of the CCO to the ASX Appeal Tribunal.

More information about the types of action that ASX may take against a participant for breaching the operating rules is available here.