Compliance Notices

Ref No

Date

Notices

Download

0008/20

26 Oct 2020

Transition to Division 4 Compensation Arrangements

0007/20

12 Oct 2020

Transition to Division 4 Compensation Arrangements

0006/20

02 Oct 2020

Waiver granted under Rule 1.5 of the Operating Rules

0005/20

15 Sep 2020

Changes to the Operating Rules (Rules) and Operating Rules: Procedures (Procedures) to accommodate trading in hybrid securities

0004/20

21 Aug 2020

Changes to the Operating Rules to clarify the requirements, on amending the terms of issue, that are imposed on the issuers of Chi-X quoted funds

0003/20

13 Jul 2020

Consultation Paper 1 of 2020 – Proposed amendments to the Rules and Procedures to accommodate trading in Hybrid Securities

0002/20

23 Jun 2020

Waiver granted under Rule 1.5 of the Operating Rules

0001/20

04 May 2020

Changes to the Operating Rules: Procedures (Procedures) to accommodate the removal of visible MOC orders

0011/19

20 Dec 2019

Chi-X Australia Compliance Committee Sanctions and Fines OpenMarkets Australia Limited

0010/19

06 Dec 2019

Update on CP 1 of 2019 – The Transition in Compensation Arrangements and Required Disclosures to Retail Clients

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