ASX Compliance presentations in Melbourne Back |
 ASX Compliance presentation
ASX Compliance staff gave presentations in Melbourne in May on compliance issues, particularly supervision, monitoring and the role of Responsible Executives. Some of the key points were:
- AS3806 on Compliance Programs should be a key reference
- Some risk areas:
- Errors Policy
- Rebookings
- Suspense
- Confirms
- Responsible Executives / Management Plans
- Management Plans needs to set out actual supervision tasks of each RE
- Document any delegations of RE duties
- Have evidence of the checking
- ASX to provide template
- Do checks really address risks? Gap analysis necessary to see if they do.
- Self Reporting
- Other ASX Compliance projects
- corporate actions self assessment
- options mini self assessment
- reporting platform to ASX
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