The FEX Global Compliance Department ensures that FEX Global meets all obligations of its Australian Market Licence. Through interaction with regulators such as ASIC and with reference to the Corporations Act 2001, the Compliance Department has in place an overall governance structure to ensure that the Exchange operates a fair, orderly and transparent market place.
Monitoring and surveillance of trading activities is overseen by the Compliance Department. This is essential to the protection of the markets, fair price action and any market disruptions or manipulation. The scope of this activity includes Trading Participants, Clearing Entities and their staff. All participants and entities are subject to obligations under the FEX Global Operating Rules.
Investigations that arise from any issues relating to trading activities or otherwise are carried out by the Compliance Department and may be referred to the Compliance and Conduct Committee for further consideration.