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Independent Expert Summary Report.pdf

commsec-eu-summary-report-2017.pdf
Preview of Independent Expert Summary Report
🔗 Source: download.asic.gov.au
📊 Size: 37 KB
📄 Pages: 9 pages
⬇️ Downloads: 145

Summary

Commonwealth Securities Limited (Commsec) and the Australian Investment Exchange Ltd (AUSIEX) reported compliance incidents to the Australian Securities and Investments Commission (ASIC) between 2010 and 2013 regarding the handling of client money. An internal review in 2012 led to the development of the Trust Account Remediation Program (TARP), which was completed in December 2012. Commsec entered into an Enforceable Undertaking (EU) with ASIC in December 2013. Ernst & Young (EY) was appointed as the Independent Expert under the EU to validate TARP and assess Commsec's controls, systems, and processes related to client money requirements. EY issued its Final Report in September 2015, and this Summary Report provides a high-level summary of the outcomes of the Independent Review.

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Description

Commonwealth Securities Limited (Commsec) and the Australian Investment Exchange Ltd (AUSIEX) reported compliance incidents to the Australian Securities and...

Technical Information

  • File Format: PDF
  • File Size: 37 KB
  • Pages: 9
  • Language: EN
  • Total Downloads: 145
  • Last Updated: 1 week ago

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