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Notice
Under the Corporations Act 2001 (Cth), 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 purpose of this circular is to notify Participants in those markets and facilities of some of the enforcement activities recently undertaken by ASX Supervision, so that they are aware of potential areas of focus and concern for ASX.
This circular covers enforcement activities that were finalised during the period between 1 April 2026 and 30 June 2026. Investigations in relation to other enforcement matters remain ongoing.
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Issued by
Lucinda McCann
Group Executive ASX Supervision
Contact information
Michael Bridge
Head of Enforcement, ASX Supervision
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Investor Support