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ASIC commences civil penalty proceedings against CommSec and AUSIEX for systemic compliance failures

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ASIC commences civil penalty proceedings against CommSec and AUSIEX for systemic compliance failures
ASIC has commenced civil penalty proceedings in the Federal Court against Commonwealth Securities Limited (CommSec) and Australian Investment Exchange Limited (AUSIEX) for alleged breaches of the Market Integrity Rules, Corporations Act and ASIC Act (CommSec only) relating to systemic compliance failures in the delivery of financial services.
ASIC alleges the conduct spanned a significant period of time and involved failures across multiple systems and business areas. Commsec and AUSIEX submitted over 60 notifications to ASIC relating to the conduct.
It is ASIC’s view that the number, breadth and duration of the conduct is significant and indicates the entities did not have adequate systems and processes in place to ensure compliance with their relevant obligations under their Australian Financial Services licence (AFS licence) and pursuant to the Market ....

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ASIC Commences Civil Penalty Proceedings Against CommSec And AUSIEX For Systemic Compliance Failures

ASIC Commences Civil Penalty Proceedings Against CommSec And AUSIEX For Systemic Compliance Failures
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Australia Limited , Commonwealth Securities Limited Commsec , Australian Financial Services , Australian Investment Exchange Limited , Commonwealth Bank , Disciplinary Panel , Court Enforceable , Federal Court , Commonwealth Securities Limited , Market Integrity Rules , Corporations Act , Market Integrity , Agreed Facts , Best Execution Policy Disclosure , Markets Disciplinary Panel , Court Enforceable Undertaking , Chix Limited , ஆஸ்திரேலியா வரையறுக்கப்பட்டவை , ஆஸ்திரேலிய நிதி சேவைகள் , ஆஸ்திரேலிய முதலீடு பரிமாற்றம் வரையறுக்கப்பட்டவை , காமன்வெல்த் வங்கி , ஒழுக்கம் குழு , கூட்டாட்சியின் நீதிமன்றம் , காமன்வெல்த் பத்திரங்கள் வரையறுக்கப்பட்டவை , சந்தை நேர்மை விதிகள் , நிறுவனங்கள் நாடகம் ,