Statistics

Overview of referrals/notifications from ASX to ASIC

2007/2008  2006/2007 2005/2006 2004/2005
Total 205  214 101 128

A single notification from ASX to ASIC may include more than one contravention of an ASX Rule or the Corporations Act

Annual Disciplinary Tribunal statistics

2007/2008 2006/2007 2005/2006 2004/2005 2003/2004
Number of hearings  28  24 17 13 17
Number of charges or contraventions  60  51 30 51 68
Total fines

 $971,000

(plus GST)

  $410,000 (plus GST) $310,750 (inc. GST) $533,500 (inc. GST) $915,200 (inc. GST)

Disciplinary Circulars, Bulletins and Notices