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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 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 period ending 30 June 2023. Investigations in relation to other enforcement matters are ongoing
What do I need to do by when?
For your information only.
Need more information?
Issued by
Michael Bridge
Senior Manager, Enforcement
Contact information
Michael Bridge
Senior Manager, Enforcement
131 279
+61 2 9338 0000 (from Overseas)
enforcement@asx.com.au