SMARTS BROKER COMPLIANCE PTY LTD Litigation and court case watch
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Smarts Broker Compliance Pty Ltd (ACN 106064019) is an Australian private company registered in 2003. ASIC's company register lists it as registered as at November 2026.
Litigation and court cases: Smarts Broker Compliance Pty Ltd
Courts and tribunals record companies by their legal name. LitigationWatch looks for SMARTS BROKER COMPLIANCE PTY LTD (ACN 106 064 019) in matters before the High Court, the Federal Court, the Federal Circuit and Family Court, the Supreme, District, County, Local and Magistrates Courts of every state and territory, and tribunals such as the Fair Work Commission, the Administrative Review Tribunal and each state's civil and administrative tribunal.
When Smarts Broker Compliance Pty Ltd is named as a party, you get an email with the court, the case and what happened, such as a new filing or a hearing being listed, with a link to the court's record where one is available.
Claims are often brought against a parent company, a subsidiary or a trustee company rather than the business you know. Smarts Broker Compliance Pty Ltd is associated with 1 company through majority shareholdings: see them below, or watch them together with Smarts Broker Compliance Pty Ltd.
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This page does not list court cases. Nothing on it suggests that Smarts Broker Compliance Pty Ltd is or has been a party to legal proceedings.
Why watch Smarts Broker Compliance Pty Ltd for litigation
- Early warning of unpaid debts: a creditor's application to wind a company up is filed in court, often before any other public sign.
- Knowing who you deal with: suppliers, customers, landlords and lenders learn if a company they rely on sues or is sued.
- Due diligence: investors and buyers see new claims, class actions and regulator cases, including during a deal.
- Regulator action: cases brought by ASIC, the ACCC or the tax office can point to compliance problems.
- Your own group: claims are often filed against a subsidiary or trustee company, so watching each entity means none reaches you late.
Key facts
| Item | Recorded |
|---|---|
| Legal name | SMARTS BROKER COMPLIANCE PTY LTD |
| ACN | 106064019 |
| ABN | 15106064019 |
| Company type | Australian Private Company |
| Status (ASIC register, November 2026) | Registered |
| Status in the 2023 records | Registered |
| Class (ASIC register) | Limited by shares |
| Sub-class (ASIC register) | Proprietary company |
| Former names | Capital Markets Surveillance Services Pty Ltd |
| Current name since | 2009 |
| Registered | 2003 (about 20 years before these records) |
| Current directors | 4 |
| Current secretaries | 0 |
| Shareholders recorded | 1 |
| Share classes | 1 |
| Ultimate holding company | Nasdaq, Inc. |
| Appointed auditor | Ernst & Young |
Associated parties
Following majority shareholdings up to three levels above and below it, Smarts Broker Compliance Pty Ltd is associated with 1 company and 28 people.
| Company |
|---|
| Nasdaq Australia Holdings Pty Ltd Litigation alerts: hidden Watch |
Board changes by year
Between 2003 and 2022, records show 29 appointments and 25 recorded departures at Smarts Broker Compliance Pty Ltd. The busiest year was 2012, with 7 changes.
| Year | Appointed | Left |
|---|---|---|
| 2022 | 2 | 3 |
| 2018 | 1 | 1 |
| 2016 | 2 | 1 |
| 2015 | 1 | 1 |
| 2014 | 3 | 3 |
| 2013 | 2 | 2 |
| 2012 | 4 | 3 |
| 2011 | 2 | 2 |
| 2010 | 1 | 5 |
| 2009 | 3 | 0 |
| 2007 | 2 | 2 |
| 2006 | 1 | 0 |
| 2005 | 1 | 1 |
| 2003 | 4 | 1 |
Companies that share officeholders with Smarts Broker Compliance Pty Ltd
People on the board of Smarts Broker Compliance Pty Ltd also hold roles at 67 other companies. Those with the most shared officeholders are listed below.
| Company |
|---|
| Smarts Market Surveillance Pty Ltd Litigation alerts: hidden Watch |
| Rozetta Institute Limited Litigation alerts: hidden Watch |
| Nasdaq Pty Ltd Litigation alerts: hidden Watch |
| Capital Markets Technologies Pty Ltd Litigation alerts: hidden Watch |
| Nasdaq Australia Holdings Pty Ltd Litigation alerts: hidden Watch |
| Rozetta Ventures 1 Pty Ltd Litigation alerts: hidden Watch |
| Trovio Pty Ltd Litigation alerts: hidden Watch |
| Rozetta Ventures 2 Pty Ltd Litigation alerts: hidden Watch |
| Cotiviti Australia Pty Ltd Litigation alerts: hidden Watch |
| Evestment Alliance Australia Pty Ltd Litigation alerts: hidden Watch |
Watching Smarts Broker Compliance Pty Ltd for litigation
Is Smarts Broker Compliance Pty Ltd involved in a court case?
This page doesn't show court cases. Court and tribunal lists change every day, so the reliable way to know is to watch Smarts Broker Compliance Pty Ltd: LitigationWatch checks every day and emails you as soon as it is named in a case.
How do I get alerts about Smarts Broker Compliance Pty Ltd?
Choose Watch for litigation, pick a plan and confirm. Smarts Broker Compliance Pty Ltd is added to your watchlist with its ACN and is included in the next daily check.
Which courts and tribunals are checked?
Courts and tribunals across every Australian jurisdiction: federal, state and territory. See coverage for details.
How much does it cost?
Standard is US$9 a month for up to 20 companies, and Pro is US$29 a month for up to 100. Cancel any time. Compare plans.