Asx Limited · ASX:ASX

Asx — FY2009 Earnings Presentation

5 slides from Asx's earnings presentation, Aug 20, 2009

  1. Slide 1: ASX Limited 2009 Full-Year Results

    For personal use only ASX Limited 2009 Full-Year Results Eric Mayne, Chief Supervision Officer ASX Markets Supervision 20 August 2009 Sydney, Australia

  2. Slide 2: Markets Supervision Highlights - Monitoring

    Markets Supervision Highlights - Monitoring For personal use only • Responses to market events triggered by the global financial crisis • Reporting of short sales • T+3 settlement • ASX Compliance focus on prevention and remediation • Oversight of ASX /ACH Participants’ capital requirements • Reinfo

  3. Slide 3: Markets Supervision Highlights - Enforcement

    Markets Supervision Highlights - Enforcement For personal use only • 88 referrals to ASIC (in line with pcp) including: • 31 possible breaches of insider trading • 20 possible breaches of continuous disclosure • 14 possible breaches of market manipulation • Disciplinary Tribunal finalised 20 matters

  4. Slide 4: Markets Supervision Highlights - Expansion of Supervisory Resources

    Markets Supervision Highlights – Expansion of Supervisory Resources For personal use only • 7% (7 FTE) increase in headcount for FY09 • Successful implementation of Issuers Activity Solution in Nov 08 • Successful implementation of ASX Compliance Monitor in Mar 09 • SMARTS Upgrade went ‘live’ in May

  5. Slide 5: Markets Supervision Highlights - ASXMS Education and Research Program

    Markets Supervision Highlights – ASXMS Education and Research Program For personal use only • Fines imposed by the Disciplinary Tribunal used to fund education and compliance programs • $611,332 spent by ASXMS Education and Research Program in FY09 • 65 events held nationwide attended by approximate

ASX — FY2009 Earnings Presentation on 6ix