Notice

ASX Disciplinary Matter – HSBC Custody Nominees (Australia) Limited

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  • ASX 24 Market
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Notice reference number: 1396.23.12
Date published: 21/12/23
Effective as of: 21/12/23
Last updated: 21/12/23

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 HSBC Custody Nominees (Australia) Limited with respect to particular contraventions of the ASX Settlement Operating Rules.

What do I need to do by when?

For your information only

Need more information?

Issued by

Daniel Moran, Chief Compliance Officer

Contact information

Michael Bridge
Senior Manager, Enforcement
131 279
+61 (02)  9338 0000 (from Overseas)
Enforcement@asx.com.au

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