ASIC report on market integrity
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ASIC achieved 11 significant enforcement outcomes relating to market misconduct in the first six months of this year. Details of these and other achievements feature in Report 450: Market integrity report: 1 January to 30 June 2015, along with key priorities for market integrity for the rest of 2015.
The report has been released in a new format, consisting of a three minute video and webpage highlighting significant market integrity outcomes achieved through ASIC’s supervisory, surveillance and enforcement activities.
Other key activities during this period include:
• 18,388 trading alerts
• 102 market surveillance enquiries
• 100+ matters under investigation at any one time
• 164 industry meetings
• 25 compliance surveillances
• 14 risk-based assessments
Market intermediaries are encouraged to circulate the video and webpage to their staff to increase awareness of ASIC’s actions and ongoing areas of focus.
Source: ASIC