Notice

Disciplinary Matter – Société Générale Securities Australia Pty Limited

What's this about:
  • ASX 24 Market
  • Clearing
  • Austraclear
  • Rules
  • Compliance
  • Futures
  • enforcement
  • margin
Notice reference number: 0450.17.04
Date published: 28/04/17
Effective as of: 28/04/17
Last updated: 28/04/17

Under the Corporations Act, as a licensed operator of financial markets, ASX is obliged to have adequate arrangements for monitoring and enforcing compliance with the operating rules of those markets. It is also obliged, as a licensed operator of clearing and settlement facilities, to have adequate arrangements for supervising those facilities and for enforcing compliance with their operating rules.

The attached document summarises recent enforcement activity by ASX against Société Générale Securities Australia Pty Limited with respect to a particular contravention of the ASX Clear (Futures) Operating Rules. 

20170428 Societe Generale Securities Australian Pty Limited - Circular 

What do I need to do by when?

For your information only.

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Issued by

Kevin Lewis, Chief Compliance Officer

Contact information

Kevin Lewis
+61 (02)  9227 0771
info@asx.com.au

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