Listings Compliance

Monitoring and enforcing compliance

Listings Compliance is primarily responsible for monitoring and enforcing compliance with the ASX listing rules and the ASX operating rules governing the quotation of warrants and AQUA products.

Applications for admission

Listings Compliance assesses whether applications for admission to the ASX official list conform to the requirements of the listing rules and also whether applications for the quotation of warrants and AQUA products conform to the requirements of the ASX operating rules.

Detailed information about ASX’s requirements to be admitted to the ASX official list can be found in Listing Rules Guidance Note 1 Applying for Admission – ASX Listings, Guidance Note 4 Foreign Entities Listing on ASX and Guidance Note 29 Applying for Admission – ASX Debt Listings.

Further information about ASX’s warrants and AQUA product markets can be found here.

Applications for waivers

Listings Compliance processes applications for waivers of the ASX listing rules and the ASX operating rules governing the quotation of warrants and AQUA products.

Listing Rules Guidance Note 17 Waivers and in Principle Advice: has further information on how to apply for a waiver of the listing rules, while ASX Operating Rules Guidance Note 4 Waivers and In-Principle Advice has further information on how to apply for a waiver of the operating rules governing the quotation of warrants and AQUA products.

Listed@ASX Compliance Updates

Listings Compliance publishes Compliance Updates (formerly Listed Entities Updates) to advise listed entities of market developments, including proposed changes to ASX Listing Rules and Guidance Notes, and to provide guidance on topical or emerging compliance issues.

Compliance Updates will be of interest to:

  • company secretaries
  • communications/investor relations managers
  • general counsel
  • local agents for foreign companies.

Listed entities can have Compliance Updates emailed to staff members simply by entering their email details in the "Your Details" section on ASX Online. They will automatically be added to our subscription list.

Alternatively anyone (including lawyers and other professional advisers) can ask to be added to the Compliance Updates subscription list by emailing or receive it by downloading the Listed@ASX app from the Apple app store. The Listed@ASX app will give you easy access to Compliance Updates on your mobile device and also allow you to access other ASX business-to-business content. If you have notifications turned on, the app will also notify you when a new update is released.

Past editions of Compliance Updates can be viewed here.

Declined listing and waiver applications

To enhance transparency and assist stakeholders to understand how ASX interprets and applies its Listing Rules, Listing Compliance publishes on a regular basis high level reasons why ASX has declined certain listing and waiver applications. Copies of those publications can be downloaded here:

Contact details

Listings Compliance can be contacted at:

Exchange Centre
20 Bridge Street
Sydney NSW 2000


(02) 9227 0000
(02) 9241 7620

Level 4, Rialto North Tower
525 Collins Street
Melbourne VIC 3000


(03) 9617 8611
(03) 9614 0303

Level 40, Central Park
152-158 St George's Terrace
Perth WA 6000


(08) 9224 0000
(08) 9221 2020