Monitoring and enforcing compliance
Participants Compliance is primarily responsible for monitoring and enforcing compliance with the operating rules of the ASX and ASX 24 markets and the ASX Clear, ASX Clear (Futures), ASX Settlement and Austraclear facilities.
Participants Compliance assesses whether applications for admission as a participant in an ASX market or clearing and settlement facility conform to the requirements of the operating rules of that market or facility.
Detailed information about ASX’s requirements to become a participant of the ASX or ASX 24 markets or the ASX Clear, ASX Clear (Futures) and ASX Settlement facilities can be found in Guidance Note 1 Admission as a Participant for the relevant market or facility.
General information on becoming a participant of Austraclear is available on the ASX website.
Organisations considering applying to become a participant in an ASX market or clearing and settlement facility should direct their initial enquiries to ASX Participant Transitions on 1300 735 713 (local calls), +61 2 9227 0787 (international calls) or firstname.lastname@example.org.
Application for waivers
Participants Compliance processes most applications for waivers of the ASX operating rules.
Guidance Note 4 Waivers and In-Principle Advice for the relevant rulebook has further information on how to apply for a waiver of the operating rules.
Participants Compliance can be contacted by:
- emailing email@example.com
- telephoning ASX's Sydney office on +61 2 9227 0000
- faxing +61 2 9227 0440
- writing to:
The General Manager, Participants Compliance
20 Bridge Street
Sydney NSW 2000