Notice

Disciplinary Matter – Share Investing Limited

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  • ASX Market
  • Equities
  • Rules
  • Compliance
  • Clearing
  • Settlement
  • enforcement
  • sponsorship
  • financial stability standards
  • client property
  • accumulation
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Notice reference number: 1183.16.10
Date published: 06/10/16
Effective as of: 06/10/16
Last updated: 20/03/26

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 Share Investing Limited with respect to particular contraventions of the ASX Settlement Operating Rules.

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What do I need to do by when?

For your information only.

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Issued by

Kevin Lewis, Chief Compliance Officer

Contact information

Kevin Lewis

+61 (02)  9227 0771

info@asx.com.au

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