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Media Centre

AUSIEX - Court judgment on ASIC proceedings

26 OCTOBER 2022

Australian Investment Exchange Limited (AUSIEX) acknowledges the decision of the Federal Court of Australia following proceedings brought by the Australian Securities and Investments Commission (ASIC) in March 2021 against AUSIEX and Commonwealth Securities Limited (CommSec).

ASIC accepted that the errors were not deliberate, that AUSIEX and CommSec self-reported the errors and cooperated with ASIC in relation to these issues.

There were no financial losses incurred by AUSIEX clients and the remediation program for those impacted has been completed. The issues arose from errors such as information technology system coding, systems issues, human error and/or data entry errors.

AUSIEX was divested from CommSec and the CBA Group in May 2021 and we have strengthened our systems and procedures to prevent further errors and are committed to continuing to improving our systems, processes, procedures and controls to meet our obligations and commitments to clients.

If you have any concerns or questions regarding the above, please contact us via media@ausiex.com.au.

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