ASX LIMITED 
5 August 2015
ASX Compliance Monthly Activity Report - July 2015
ListingsListed Entities | July 2015 |
Listed entities at month start | 2,220 |
New listings | 14 |
De-listings | 10 |
Listed entities at month end | 2,224 |
New listings for the month were amaysim Australia Limited (AYS), Argo Global Listed Infrastructure Limited (ALI), Costa Group Holdings Limited (CGC), Genex Power Limited (GNX), Kina Securities Limited (KSL), Medlab Clinical Limited (MDC), MG Unit Trust (MGC), Mitula Group Limited (MUA), Netccentric Limited (NCL), Pepper Group Limited (PEP), Pureprofile Ltd (PPL), REFFIND Limited (RFN), Series 2015-1 WST Trust (WEJ) and TORRENS Series 2015-1 Trust (TNJ).
De-listings for the month were Amcom Telecommunications Limited (AMM), AusNet Services (Distribution) Ltd (AST), AusNet Services Finance Trust (AST), AusNet Services (Transmission) Ltd (AST), Crusade Global Trust No. 1 of 2006 (CTJ), FirstMac Bond Series 2-2005 Trust (FMB), MYOB Finance Australia Limited (MYB), Norton Gold Fields Limited (NGF), PUMA Masterfund P-12 (PUC) and SMART Series 2011-3 Trust (SNA).
Key Listings Statistics | July 2015 |
Total company announcements | 9,846 |
Price queries by ASX1 | 28 |
Other continuous disclosure queries by ASX2 | 31 |
Aware letters sent by ASX3 | 8 |
Announcements made following a price query | 20 |
Trading halts at the listed entity's request | 96 |
Trading halts following a query by ASX | 6 |
Suspensions at the listed entity's request | 15 |
1 Price queries are enquiries made by ASX (either by letter or phone) to a listed entity if it detects unusual movements in a listed entity's security price or trading volumes to ask if the listed entity is aware of any information that has not been announced which, if known, might explain the movements.
2 Other continuous disclosure queries are queries (other than price queries) raised by ASX with listed entities when ASX has concerns the entity may not be in compliance with its continuous disclosure obligations under Listing Rules 3.1, 3.1A and 3.1B. Examples include a query made following a media report or an announcement lodged with ASX.
3 Aware letters are sent by ASX following an announcement by a listed entity and ask for details of when the listed entity became aware of the material information contained in the announcement.
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Key Listings Statistics | July 2015 |
Suspensions imposed by ASX for breach of the Listing Rules | 0 |
ASX Participants4 | July 2015 |
Market/Clearing/Settlement Participants at month start | 118 |
New admissions | 1 |
Resignations and removals | 0 |
Market/Clearing/Settlement Participants at month end | 119 |
ASX 24 Participants | July 2015 |
Trading/Clearing Participants at month start | 55 |
New admissions | 0 |
Resignations and removals | 0 |
Trading/Clearing Participants at month end | 55 |
During the month of July Boardroom Pty Ltd was admitted as an ASX Settlement Participant (PISP).
EnforcementReferrals to ASIC5 | July 2015 |
Continuous disclosure referrals | 0 |
Other referrals | 2 |
Total referrals to ASIC | 2 |
Enforcement Matters | July 2015 |
Open ASX enforcement matters at month start | 2 |
New enforcement matters commenced during the month | 1 |
Enforcement matters concluded during the month | 1 |
Open ASX enforcement matters at month end | 2 |
Fines imposed during the month (excl GST) | Nil |
Enforcement closed one of its open matters concerning BBY Limited following its entry into liquidation.
No Disciplinary Circulars were released by the ASX Disciplinary Tribunal during the month.
4 Figures exclude Special Settlement Participants set up to effect a specific corporate action as their participation is only temporary.
5 ASX is required, under sections 792B(2)(c) and 821B(2)(c) of the Corporations Act 2001, to refer a matter to ASIC if it has reason to suspect that a person has committed, is committing, or is about to commit a significant contravention of the ASX Group's Operating Rules or the Corporations Act. It should be noted that a single referral may relate to more than one potential contravention. It should also be noted that the fact a matter has been referred to ASIC does not necessarily mean that a contravention has been committed or that ASIC will take enforcement proceedings in relation to it.
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ASX Rule Changes, Waivers and Exemptions
Changes to Listing Rules Guidance Note 8 Continuous Disclosure: Listing Rules 3.1 -3.1B (GN 8) came into effect on 1 July 2015. The changes expand the guidance on earnings surprises, publication of analyst forecasts and consensus estimates, and investor briefings.
ASX also released its revised schedule of listing fees for FY16 on 1 July 2015. The revised listing fees are set out in Guidance Note 15A: Schedule of ASX Listing Fees.
Details of these rule and guidance note changes can be accessed online at:
http://www.asx.com.au/regulation/rules/recent-rule-amendments.htm.
There were 65 waivers granted in relation to the ASX Listing Rules and two in relation to the ASX Settlement Operating Rules. Details of waivers and exemptions granted by ASX can be accessed online by clicking on the relevant rule book on the Rules, Guidance Notes and Waivers page on the ASX website (http://www.asx.com.au/regulation/rules-guidance-notes-and-waivers.htm) and then clicking on the waivers tab.
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