ASX Compliance

ASX Compliance monitors and enforces 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

About ASX Compliance

ASX Compliance is a specialist function established by ASX to monitor and enforce compliance with the rules governing ASX's markets and clearing and settlement facilities. It has three divisions:

Listings Compliance - monitors and enforces compliance by listed entities with the ASX Listing Rules and by investment product issuers with the ASX Operating Rules
Participants Compliance - monitors and enforces compliance by participants with the Operating Rules of the various markets and clearing and settlement facilities operated by the ASX Group
Executive Office - manages the Enforcement function, provides support to the ASX Corporate Governance Council and administers the ASX Compliance Education and Research program.

Listings Compliance and the Executive Office report to Daniel Moran, Group Executive and Chief Compliance Officer. Participants Compliance reports to Hamish Treleaven, Group Executive and Chief Risk Officer.