How ASX Markets Supervision supervises Participants

A key factor in achieving ASX’s reputation as a provider of a market of integrity has been the effectiveness of its Operating Rules, which set standards of behaviour for Participants in our market and our Clearing and Settlement facilities. The Participants Unit is responsible for non-financial supervision of those Participants through monitoring their compliance with the ASX Market Rules, ACH Clearing Rules and ASTC Settlement Rules (the “Rules”). These Rules are designed to promote market integrity.

The role of the Participants Unit, which is Sydney-based, is to promote and monitor ASX Participants' compliance with the Rules and, where breaches are identified, achieve appropriate regulatory outcomes to reduce the risk of recurrence.

This section covers the following areas:

Financial supervision of Participants is undertaken by Prudential Risk Management.