Notice

ASX Disciplinary Matter – Goldman Sachs Australia Pty Limited

What's this about:
  • ASX 24 Market
  • Trading
  • Clearing
  • Settlement
  • Product
  • Operations
  • Rules
  • Compliance
  • Risk
  • Other
Notice reference number: 0671.24.06
Date published: 12/06/24
Effective as of: 12/06/24
Last updated: 12/06/24

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 Goldman Sachs Australia Pty Limited with respect to particular contraventions of the ASX Settlement Operating Rules.

Need more information?

Issued by

Daniel Moran, Chief Compliance Officer

Contact information

Michael Bridge
Senior Manager, Enforcement
+61 (0) 2 9338 0000
Enforcement@asx.com.au

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