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Notice
Notice Content
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 J.P. Morgan Nominees Australia Pty Limited with respect to particular contraventions of the ASX Settlement Operating Rule.
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Issued by
Daniel Moran, Chief Compliance Officer
Contact information
Michael Bridge
Senior Manager, Enforcement
131 279