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Compliance Lenses

Pluggable compliance domains with deterministic and AI-powered rules

Compliance Lenses / Corporate Governance Review

Corporate Governance Review

Reviews corporate governance practices against ASX Corporate Governance Council Principles and Recommendations (4th Edition) and Corporations Act requirements.

RAG Indices

  • asx-cgc-principles
  • corporations-act
  • asx-listing-rules
  • asic-regulatory-guides

Cross-Reference Indices

None

Required Entities

  • board_composition
  • independent_directors
  • chair_independence
  • audit_committee
  • risk_committee
  • remuneration_committee
  • nomination_committee
  • diversity_policy
  • code_of_conduct
  • whistleblower_policy
  • continuous_disclosure_policy
  • securities_trading_policy
  • board_skills_matrix
  • board_evaluation
  • esg_reporting
  • cyber_governance

Deterministic Rules (20)

GOV-001 Majority of board is not independent directors (ASX CGC Principle 2, Rec 2.4)
GOV-002 Board chair is not an independent director (ASX CGC Rec 2.5)
GOV-003 CEO and chair are the same person (ASX CGC Rec 2.5)
GOV-004 No audit committee established (ASX CGC Rec 4.1)
GOV-005 Audit committee does not have a majority of independent members (ASX CGC Rec 4.1)
GOV-006 No risk committee or risk framework (ASX CGC Principle 7)
GOV-007 No remuneration committee (ASX CGC Rec 8.1)
GOV-008 No nomination committee (ASX CGC Rec 2.1)
GOV-009 No measurable diversity policy or targets (ASX CGC Rec 1.5)
GOV-010 No board skills matrix disclosed (ASX CGC Rec 2.2)
GOV-011 No continuous disclosure policy (ASX CGC Rec 5.1)
GOV-012 No code of conduct (ASX CGC Rec 3.2)
GOV-013 No whistleblower policy (ASX CGC Rec 3.3)
GOV-014 No anti-bribery and corruption policy (ASX CGC Rec 3.4)
GOV-015 No board performance evaluation conducted (ASX CGC Rec 1.6)
GOV-016 No securities trading policy (ASX CGC Rec 12.12)
GOV-017 No ESG/sustainability reporting or climate risk disclosure
GOV-018 Related party transactions not adequately disclosed (ASX Listing Rule 10.1)
GOV-019 Director tenure exceeds 12 years — independence concern
GOV-020 No cyber security risk governance framework