Participants Compliance

Applications for admission as a participant

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 8298 8249 (international calls) or

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.

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.

Contact details

Participants Compliance can be contacted by:

The General Manager, Participants Compliance
ASX Limited
Exchange Centre
20 Bridge Street
Sydney NSW 2000