Notice

Disciplinary Matter – OpenMarkets Australia Limited

What's this about:
  • ASX Market
  • Equities
  • Exchange Traded Products (ETP) & mFund
  • Options & ETOs
  • Clearing
  • Compliance
  • Rules
  • enforcement
Notice reference number: 1410.21.10
Date published: 12/10/21
Effective as of: 12/10/21
Last updated: 12/10/21

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 OpenMarkets Australia Limited with respect to particular contraventions of the ASX operating rules.

What do I need to do by when?

For your information only.

Need more information?

Issued by

Janine Ryan, Chief Compliance Officer

Contact information

Janine Ryan
+61 (02)  9227 0497
info@asx.com.au

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