Market Notice – Guidance Note on Penalties and Enforcement Action pdf

AIX hereby informs its Market Participants (Issuers and Members) that AIX has adopted the Guidance Note on Penalties and Enforcement Action (hereafter – the “Guidance”) in furtherance of AIX Disciplinary Rules of AIX Business Rules. The Guidance shall become effective and binding on the Market Participants as of 30 November 2020.

The Guidance was prepared to inform Market Participants of potential penalties and liabilities and to assist AIX Regulation and Compliance in applying unified and transparent approach in respect of enforcement action.

The Guidance is not intended to be an exhaustive list of breaches and non-compliances and can be amended and restated from time to time. Amendments to the Guidance will be approved by AIX Board of Directors, published by Market Notice and become effective and binding on the Market Participants at the time specified in such Market Notice.

To read and acknowledge the Guidance please refer to section “Rules and Regulations” on the AIX website.

Please contact AIX Regulation and Compliance at [email protected] for additional information.