ASXMS - Quarterly Activity Report – September 2009

http://www.asx.com.au/about/pdf/asxms_0 ... report.pdf

I was lurking around ASX website and found this fascinating document.
Headings include:
Activity;
Total company announcements;
Number of new listings;
Number of de-listings;

As at end of quarter
Listed entities supervised;
Participants1 – ASX, ACH, ASTC;
Participants – SFE, SFECC;

Waivers granted

Market surveillance

Insider trading and market manipulation
(18 open enquiries – 13 matters related to insider trading)

Issuer monitoring

ASX Markets Participant monitoring

Futures supervision and capital monitoring

Enforcement
Referrals to ASIC Eighteen referrals relating to 20 potential breaches were sent to ASIC in Q1 FY10.

Disciplinary Tribunal
Matters commenced

ASIC action arising from ASXMS referrals

ASXMS Education and Research Program
Matters commenced
Educational events
Research