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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 UBS Securities Australia Limited with respect to particular contraventions of the ASX Settlement Operating Rules.
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Issued by
Daniel Moran, Chief Compliance Officer
Contact information
Michael Bridge, Senior Manager, Enforcement
Enzo Cellerier
Senior Analyst, Enforcement