Complaints

It is important that investors and other participants in the SSX market understand the roles and responsibilities of the various parties involved in the supervision of the SSX market and the transactions conducted on the SSX market. Understanding these roles and responsibilities will assist in determining who is best positioned to handle a complaint in the event of a grievance.

Markets Supervision

Details of the roles of SSX and ASIC in supervising the SSX market are set out on our Market Supervision page.

Transactions on SSX

In general,

Complaints

Listees

If you have a complaint about a SSX listee and it relates to a matter:

  • set out in the SSX Listing Rules, please write to SSX Supervision, Level 41, 259 George Street, SYDNEY NSW 2000; or
  • set out in the Corporations Act, please write to ASIC as set out on the ASIC website.

Sponsors

If you have a complaint about a SSX sponsor and it relates to a matter set out in the SSX Listing Rules, please write to SSX Supervision, Level 41, 259 George Street, SYDNEY NSW 2000. 

Participants

If you have a complaint about a Market Participant being a SSX Participant and it relates to a matter:

  • set out in the SSX Business Rules, please write to SSX Supervision, Level 41, 259 George Street, SYDNEY NSW 2000; or
  • set out in the Corporations Act or the ASIC Market Integrity Rules (APX Market), please write to ASIC as set out on the ASIC website.

If you have a complaint about a Market Participant being a SSX Participant for which you are seeking financial compensation, you should initially liaise with that Market Participant. They are obliged to address your complaints and to advise you how to escalate matters if you remain dissatisfied (for example, you may contact the Financial Ombudsman Service).

SSX has established and maintained investor compensation arrangements in accordance with Part 7.5 Division 3 of the Corporations Act (the SSX Compensation Arrangements). The circumstances in which compensation is payable in accordance with the SSX Compensation Arrangements are set out in Chapter 9 of the SSX Business Rules.  SSX cannot pay, or negotiate payment of, compensation if it is outside the scope set out in Chapter 9 of the SSX Business Rules. Should you wish to acquire more information about the SSX Compensation Arrangements, please contact us by writing to The SSX Compensation Fund Administrator, Level 41, 259 George Street, SYDNEY NSW 2000.

Settlement, Transfer and Registration

If you have a complaint about the settlement of trades, the transfer and registration of ownership, the CHESS service, or the nominee services of CHESS Depositary Nominees Pty Limited, please contact ASX as set out on the ASX website

SSX

If you have a complaint about SSX as a market operator, please write to SSX Compliance, Level 41, 259 George Street, SYDNEY NSW 2000.

Making your complaint

When lodging your complaint with SSX you should include (at least) the following information:

  • the specifics of the issue you are complaining about;
  • the company (and person, if relevant) about who you are complaining;
  • the dates of the relevant events;
  • the amounts of money or shares (if any) involved;
  • any relevant previous correspondence and copies of any records of the events (NOTE: Do not send SSX the original documents);
  • any other information which would assist SSX to assess and progress your complaint;
  • whether you have lodged a complaint in relation to the matter with anyone else; and
  • whether or not you agree to SSX providing your name and contact details to the relevant listee, sponsor or Participant (note that if you do not agree to SSX providing your name and contact details then SSX may not be able to progress your complaint).

You must also include your contact details (name, address, telephone number and email address).  SSX will not act upon anonymous complaints.

Prior to lodging your complaint you should read the SSX privacy policy available here.