ASX Compliance Enforcement Activity

What's this about:
  • ASX 24 Market
  • ASX Market
  • Trading
  • Settlement
  • Rules
  • Risk
  • Compliance
  • Equities
  • Futures
  • enforcement
Notice reference number: 1455.16.12
Date published: 01/12/16
Effective as of: 01/12/16
Last updated: 01/12/16

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 purpose of this circular is to notify participants in those markets and facilities of some of the enforcement activities recently undertaken by ASX Compliance, so that they are aware of potential areas of concern for ASX and of ASX’s enforcement activities in those areas.

This circular covers enforcement activities that were finalised during the 3 month period ended 30 November 2016. Investigations in relation to other enforcement matters are ongoing.

QEC Attachment 1 December 2016 v3

What do I need to do by when?

For your information only.

Need more information?

Issued by

Tom Randall, Manager Enforcement

Contact information

Tom Randall
+61 (02)  9227 0239