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Notice
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 against Openmarkets Australia Limited with respect to particular contraventions of the ASX Clear Operating Rules, ASX Settlement Operating Rules and ASX Operating Rules.
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Issued by
Lucinda McCann, Group Executive, ASX Supervision
Contact information
Michael Bridge, Senior Manager, Enforcement