Please contact ASX’s Customer Service department with details about any complaint involving trading behaviour, possible insider trading or market manipulation. Specific details should be provided where possible.
To assist us in helping you, we ask that you follow a simple three step process:
Gather all documents that support the complaint. Make the complaint in writing, setting out adequate details of the complaint and include copies of any supporting documentation. You may wish to complete the ASX complaint form to assist in this process. If you are unable to download the ASX complaint form, you can contact ASX Customer Service on 131 279 or (02) 9338 0000 to obtain a copy. Lodge the complaint by any of the following means: by sending an email to: [email protected] by writing a letter to: Customer Service Australian Securities Exchange Limited PO Box H224 Australia Square NSW 1215 or by sending your complaint by facsimile to (02) 9227 0885. The fact that you have made a complaint will not be disclosed to any external parties without your authorisation, unless ASX is required by law to do so.
How we deal with your complaint Once received, your complaint will be reviewed by the appropriate ASX officer, who will most likely be an analyst in our Market Surveillance area.
The trading referred to in your complaint will be reviewed and considered to see whether there has been a breach of the ASX Rules or a breach of the Corporations Act. It may be that your complaint indicates that a Listed Entity has failed to make adequate disclosure to the market under the Listing Rules.
In this case, ASX would, in the first instance, raise the issue with the entity concerned. If ASX forms the view that disclosure is required, it would take action to ensure that the entity makes the necessary disclosure to the market within an appropriate time frame.
In certain circumstances, if ASX considers that an entity may be in breach of the ASX Rules or the Corporations Act, ASX is required under a memorandum of understanding (“MOU”) with ASIC to refer the matter to ASIC.
ASIC will then determine whether to use the legal powers available to it to investigate the matter further.
Under the terms of the MOU with ASIC, the fact of a particular referral having been made to ASIC is kept confidential in order to ensure that the success of any ongoing investigation is not jeopardised. However, ASX publishes the number of referrals made to ASIC on an annual basis.
So for this reason, we may not be able to inform you specifically about the action we will take in relation to your complaint. Nevertheless, ASX can assure you that your concerns will be investigated.
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