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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 below document summarises recent enforcement activity by ASX against Citigroup Global Markets Australia Pty Ltd with respect to particular contraventions of the ASX Clear and ASX Clear (Futures) Operating Rules:
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Issued by
Daniel Moran,
Chief Compliance Officer