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Wednesday 7 October 2015

15-287MR ASIC report on market integrity

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.

The new format is part of ASIC's efforts to increase the accessibility of its publications. Feedback about the new format is welcome (and can be sent to feedback@asic.gov.au).

Watch the video
Download the webpage

Last updated: 07/10/2015 12:00