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ASX Markets Supervision Education and Research Program

What is the ASX Markets Supervision Education and Research Program (ASXMSERP)?

As a measure to manage potential conflicts of interest, in June 2007 ASX announced that the proceeds of fines and settlements from its Disciplinary Tribunals (less certain expenses in taking matters before the Tribunals), would go towards a research and education program.  The program was established in late 2007 and called the ASX Markets Supervision Education and Research Program.

Mission statement

To raise awareness of and promote compliance with ASX’s supervisory requirements and supervisory issues in ASX's markets.

Terms of reference

To undertake activities which are in the best interests of ASX’s stakeholders and which:

• raise awareness of ASX supervisory requirements; or
• improve the ability of market participants to comply with ASX’s supervisory requirements; or
• educate the market on trends and issues in supervision; or
• contribute to a better understanding of supervisory issues and trends in ASX's markets and globally; or
• contribute to better compliance and knowledge culture within ASX’s stakeholder groups.

Examples of educational activities ASX currently conducts within the ambit of its "core" supervisory activities, and therefore activities which would not be funded from this program, include the following:

• Rule amendments and Guidance Notes;
• companies updates; and
• compliance newsletters.

What’s on

Issuers

Coming up:

• Listed company seminars on continuous disclosure and corporate governance: Melbourne, Friday 24 October 2008 and Sydney, Wednesday 12 November 2008.
• Course for directors on being a director of a listed company.  This course is being developed jointly with AICD and is expected to be released around October 2008.
• Face-to-face seminars on Listing Rule 3.1 3Q 2008.
• On-line course on Listing Rule 3.1.  This course is currently under development.  It is expected to be available towards the end of 2008.
• Seminar on revised corporate governance principles in 3Q 2008.
• An educational event to coincide with ASX Markets Supervision hosting the international Chief Regulatory Officers' Conference in September 2008.

Previous events:

• Listed company conference: Continuous Disclosure, Corporate Governance and the JORC Code (PDF 65KB) - Perth 26 March 2008. 

•  Listed company seminar:  Continuous Disclosure, Corporate Governance and the JORC Code (PDF 34KB) - Brisbane, 2 July 2008.

This event followed the same format as the event in Perth on 26 March, however some presentations were updated slightly.

Background information:  ASX Corporate Governance Council:  Corporate Governance Principles and Recommendations (PDF 83KB)

Participants

Coming up:

• On-line course materials to assist individuals in studying to attain the Designated Trading Representative accreditation.  This course is currently under development and is expected to be available in 3Q 2008.
• Following the above further on-line courses will be developed to assist participants in training staff on ASX compliance obligations.
• An educational event to coincide with ASX Markets Supervision hosting the international Chief Regulatory Officers' Conference in September 2008.

Suggestions & feedback

If you have an idea for supervision oriented education which would be useful to ASX’s stakeholder groups or if you have participated in any of the activities in the program and would like to comment to us on your experience you can contact us as follows:

Email:  asxmserp@asx.com.au or write to:

ASX Markets Supervision Education and Research Program
ASX Limited
Level 1, 20 Bridge St
Sydney  NSW 2000
Facsimile: 02 9227 0428

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