Electronic Compliance Object · Australia
What an agent must know before it acts on a security listed in Australia: who regulates, where the filings are stored, what is due when, and which state the issuer is in.
| Field | Value | Source |
|---|---|---|
| Regulator | Australian Securities and Investments Commission (ASIC) - "Australia's integrated corporate, markets, financial services and consumer credit regulator" asic.gov.au | asic.gov.au/about-asic/what-we-do |
| Exchange(s) and listings page | ASX (Australian Securities Exchange; listing rules operator) — www.asx.com.au/markets/trade-our-cash-market/directory | www.asx.com.au/markets/trade-our-cash-market/directory |
| Regulated-information store | ASX market announcements (Market Announcements Office / platform; today's and historical announcements). Periodic disclosure is 'made to ASX's market announcements office' www.asx.com.au/markets/trade-our-cash-market/historical-announcements | www.asx.com.au/markets/trade-our-cash-market/announcements www.asx.com.au/documents/rules/Chapter04.pdf |
| Periodic disclosure obligations and deadlines | Half-year (Appendix 4D with half-year accounts, LR 4.2A) — deadline: no later than 2 months (75 days for a mining exploration entity or oil and gas exploration entity) after the end of the half year Preliminary final report (Appendix 4E, LR 4.3A/4.3B) — deadline: no later than two months after the end of the accounting period Annual report (LR 4.5) — deadline: when lodged with ASIC and in any event no later than three months after the end of the accounting period | www.asx.com.au/documents/rules/Chapter04.pdf |
| Ad hoc / inside-information regime | ASX Listing Rule 3.1: "Once an entity is or becomes aware of any information concerning it that a reasonable person would expect to have a material effect on the price or value of the entity's securities, the entity must immediately tell ASX that information." Exceptions in LR 3.1A; guidance in Guidance Note 8 | www.asx.com.au/documents/rules/Chapter03.pdf www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn08-continuous-disclosure.pdf |
| Filing format | not found | pages checked: www.asx.com.au/documents/rules/Chapter04.pdf · www.asx.com.au/documents/rules/gn14_lodging_announcements.pdf (not a PDF / unreadable) |
| ISIN prefix | AU - "ASX is the National Numbering Agency (NNA) for Australia"; APIR Systems Limited allocates for Australian unlisted collective investment products on ASX's behalf | www.asx.com.au/markets/market-resources/isin-services |
| LEI | LEI issued by any GLEIF-accredited LEI issuer accredited for the entity's jurisdiction; "Legal entities are not limited to using an LEI Issuer domiciled in its own country". No Australia-specific issuer name read on an official page. www.gleif.org/en/about-lei/get-an-lei-find-lei-issuing-organizations | www.gleif.org/en/about-lei/get-an-lei-find-lei-issuing-organizations |
| Market calendar | ASX trading hours and calendars hub: ASX Trade calendar (cash market and derivatives), expiry calendar, 2026 settlement calendar (PDF), 2026 reporting dates calendar for listed entities (PDF) www.asx.com.au/markets/market-resources/trading-hours-calendar | www.asx.com.au/markets/market-resources/trading-hours-calendar |
| Filing language(s) | Documents given to ASX that are not in English must be accompanied by an English translation (Guidance Note 8 s4.19, re overseas-exchange documents) | www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn08-continuous-disclosure.pdf |
| Trading halts page | Trading halts per Listing Rule 17.1 ("A trading halt can only be granted for a maximum period of two trading days" - Guidance Note 16); suspension for late periodic reports per LR 17.5. No live halts-list page found on asx.com.au. www.asx.com.au/documents/rules/gn16_trading_halts.pdf | www.asx.com.au/documents/rules/gn16_trading_halts.pdf www.asx.com.au/documents/rules/Chapter17.pdf |
| Store lookup | ASX Historical announcements search page (under Markets > Trade our cash market); page text does not confirm search-by-code or a per-company URL pattern www.asx.com.au/markets/trade-our-cash-market/historical-announcements | www.asx.com.au/markets/trade-our-cash-market/historical-announcements |
| Node status and door | NODE LIVE · as_of 2026-10-23 · 1,874 issuers · door https://mcp.au-cm-kg.ai/mcp mcp.au-cm-kg.ai/mcp | mcp.capitalmarketsknowledgegraph.ai/mcp (list_nodes, at render) |
| Signal | State | When |
|---|---|---|
| ACM-200 | TRADING | The ISIN is on this market's register (the node's current roster for the exchange list). |
| ACM-403 | HALTED | Trading in the line is suspended or halted by the exchange or regulator. The node's record carries the halt flag, read nightly from the market's halts page named in the fields. www.asx.com.au/documents/rules/gn16_trading_halts.pdf |
| ACM-404 | NOT ON THE REGISTER | The ISIN is not on this market's register (not listed here, delisted, or never admitted). |
| ACM-451 | READ THE FILING | A regulatory filing for the issuer is dated in the last three days: read it before acting. The answer names it. |