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ASX Due Diligence

ASX understands conducting third party due diligence plays an important role in identifying any potential risks before taking certain products and services. ASX wants to ensure our customers feel confident that we have the appropriate regulatory and security measures in place.

ASX is the subject of significant regulatory oversight and many reviews and audits relating to the key trading, clearing and settlement services we supply to Australia’s financial markets. Much of this information is publicly available either through our regulators’ or our websites. In light of this, we have implemented an enterprise approved due diligence framework that provides requesters easy access to the relevant resources to streamline their information sourcing needs.

The below resources are regularly reviewed and updated to ensure the most accurate information is readily available.

ASX encourages our customers use these to inform their due diligence questionnaire answers. Should you need further guidance, please reach out to us via our contact page - here.

Publishing Entity	Resources
Australian Securities Exchange (ASX)	Principles for Financial Market Infrastructures (PFMI) Disclosure Framework ASX website, under tabs: Markets: Clearing and Settlement Services, etc. Connectivity and Data: Connectivity Services, etc. Participants: Rules, Guidance Notes & Waivers, etc. About Us: About ASX, Corporate Governance, etc. Regulation: ASX regulatory framework, Code of Practice, Public consultations. Clearing and Settlement rules and regulations: ASX Clear, ASX Clear Futures, ASX Settlement, Austraclear. ASX Central Counterparty (CCP) PFMI Quantitative Disclosures for: ASX Clear ASX Clear (Futures) Business Continuity Arrangements ASX Limited Annual Reports Corporate Governance Modern Slavery documentation ASX Audit and Risk Charter Risk Management Policy
Australian Securities and Investments Commission (ASIC)	Market Assessment report: ASX Group Cyber Resilience Assessment Report Review of ASX Group’s technology governance and operational risk management standards Market Integrity Rules
Reserve Bank of Australia (RBA)	Assessment of ASX’s Clearing and Settlement Facilities Assessment of ASX’s Clearing and Settlement Facilities against the Principles for Financial Market Infrastructures
Audit Documents (SOC2/ASAE3402)	Independent annual audits of ASX clearing systems: Derivatives Clearing System (DCS) Clearing House Electronic Subregister System (CHESS) Austraclear

FAQ	Answer
HR Policies and Processes Do you have an on-boarding and off-boarding policy? Can you please provide this? Do you have an employee compensation plan or an employee evaluation process? What key stakeholders are involved in your interview process? Do you have a formal performance and appraisal process for your employees and subcontracted employees?	ASX does not comment on the specifics of internal HR policies and processes, including contractors, background checks etc.
Supplier Code of Conduct Can the ASX complete and sign third party Supplier Codes of Conduct?	ASX is not able to sign or agree to supplier codes of conduct. ASX has its own Code of Conduct which sets out the standards for the way ASX employees work and provides a statement of our values for anyone dealing with ASX (this is also available on our website here).

FAQ

Answer

HR Policies and Processes

Do you have an on-boarding and off-boarding policy? Can you please provide this?

Do you have an employee compensation plan or an employee evaluation process?

What key stakeholders are involved in your interview process?

Do you have a formal performance and appraisal process for your employees and subcontracted employees?

ASX does not comment on the specifics of internal HR policies and processes, including contractors, background checks etc.

Supplier Code of Conduct

Can the ASX complete and sign third party Supplier Codes of Conduct?

ASX is not able to sign or agree to supplier codes of conduct.

ASX has its own Code of Conduct which sets out the standards for the way ASX employees work and provides a statement of our values for anyone dealing with ASX (this is also available on our website here).