Infringement Notice MDP05/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC

2024-02-20T11:17:54+11:00

On 20 September 2023, the Australian Securities and Investments Commission (ASIC) issued Infringement Notice MDP05/23 to a particular market participant for alleged contraventions under Part 7.2A.04 of the Corporations Regulations 2001. The notice addressed concerns about a client’s trading behaviour. Activity considered suspicious occurred during the Closing Single Price Auction (CSPA) between March and November [...]

Infringement Notice MDP05/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC2024-02-20T11:17:54+11:00

Need help with policy management? Start here

2023-10-03T14:57:20+11:00

What makes for good policy management? It’s not just about publishing and distributing written policies to all employees. In fact, as the Australian Securities and Investments Commission (ASIC) recently highlighted, good policy management is about the implementation and supervisory controls ensuring adherence to those policies.  […]

Need help with policy management? Start here2023-10-03T14:57:20+11:00
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