Suspicious activity report – FICC markets (FICC SAR)

FICC SAR

Reporting entity name

Full name

Reporting entity contact details

Contact number and/or email address

Individual/organisation being reported

If identified

Individual/organisation account details

If identified

Date and time suspicious activity occurred

Approximate time range(s) if exact date and time unknown

Is the suspicious activity ongoing? 

Yes/No/Unsure

Market type

Asset class and Execution venue(s)

Product detail

Full product name if known

Details of suspicious activity

Include any details regarding dates, times, markets, products, volumes, prices, known or suspected individuals/organisations, the suspected activity being reported, whether this is the first time the behaviour has been identified or whether it has been identified previously

Note: Each field is voluntary. Information provided in a FICC SAR will be treated as confidential, consistent with Regulatory Guide 103 Confidentiality and release of information (RG 103). Our immunity policy is also applicable for certain contraventions of the Corporations Act 2001, which includes market manipulation, insider trading and dishonest conduct in the course of carrying on a financial services business. Information Sheet 238 Whistleblower rights and protections (INFO 238) and Information Sheet 239 How ASIC handles whistleblower reports (INFO 239) provide information for whistleblowers.  

Last updated: 26/10/2021 11:27