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Ascot Securities hit with infringement notice for 'serious failures'

Ascot Securities was issued an infringement notice by the Markets Disciplinary Panel (MDP) in November last year for serious failures, resulting in a $3.1 million penalty and a requirement to enter an enforceable undertaking. However, Ascot chose not to comply.

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Read more: ASICAscot SecuritiesMarkets Disciplinary PanelAustralian Financial ServicesSarah Court