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Australia Stock Exchange Fined $730,000 for Breaching Pre-Trade Transparency Requirement 8,417 Times Between 2019 to 2022, Rules Require Australia Stock Exchange to Provide Pre-Trade Information for Orders on Market, Breach Caused by System Configuration Error for Block Trade Minimum Threshold for ETFs & Warrants
9th March 2024 | Hong Kong
The Australia Stock Exchange (ASX) has been fined $730,000 (AUD 1.1 million) for breaching pre-trade transparency requirement 8,417 times between 2019 to 2022, with the rules requiring Australia Stock Exchange (ASX) to provide pre-trade information for orders on market. The breach was caused by a system configuration error for block trade minimum threshold for ETFs (Exchange-traded funds & warrants).
“ Australia Stock Exchange Fined $730,000 for Breaching Pre-Trade Transparency Requirement 8,417 Times Between 2019 to 2022, Rules Require Australia Stock Exchange to Provide Pre-Trade Information for Orders on Market, Breach Caused by System Configuration Error for Block Trade Minimum Threshold for ETFs & Warrants “
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Australia Stock Exchange Fined $730,000 for Breaching Pre-Trade Transparency Requirement 8,417 Times Between 2019 to 2022, Rules Require Australia Stock Exchange to Provide Pre-Trade Information for Orders on Market, Breach Caused by System Configuration Error for Block Trade Minimum Threshold for ETFs & Warrants
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