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Showing 11 - 20 of 34 results for "Markets Disciplinary Panel"

Former Wallaby banned

ELIZABETH MCARTHUR  |  WEDNESDAY, 15 APR 2020
... 2017, Bell Potter paid a penalty of $358,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel. The infringement notice related to trading in DirectMoney shares in 2015. Bell Potter's compliance with the infringement ...

ASIC fines Finclear $70,000

KRISTI CHENG, KARREN VERGARA  |  FRIDAY, 9 AUG 2019
... Finclear Execution has paid a penalty of $70,000 for failing to comply with on-market buy-back rules. The Markets Disciplinary Panel (MDP) found Finclear contravened market integrity rules in relation to a pre-arranged crossing in April 2018 for an on-market ...

Macquarie Securities cops ASIC penalty

KANIKA SOOD  |  MONDAY, 3 JUN 2019
... regulator said this morning. ASIC issued an infringement notice to Macquarie Securities on May 3, after its markets disciplinary panel determined it had reasonable grounds to believe Macquarie contravened the rules that deal with providing data to ASX ...

Impact investment manager grows board

JAMIE WILLIAMSON  |  FRIDAY, 7 DEC 2018
The deputy chair of ASIC's Markets Disciplinary Panel joined a $730 million impact fund manager as a guardian of purpose. Impact Investment Group (IIG) has welcomed legal and risk professional Cilla Boreham to the board of Impact Funds Management, which ...

ASIC appoints to disciplinary panel

KANIKA SOOD  |  FRIDAY, 30 NOV 2018
... new appointees to a peer review panel at ASIC. The corporate regulator has added four members to its markets disciplinary panel, which peer reviews the decisions about whether infringement notices should be given for the alleged contraventions of the ...

Court fines stockbroker $350k

KARREN VERGARA  |  THURSDAY, 22 NOV 2018
... regarding a post-trade alert systems to ensure that it complied with the ASIC's Market Integrity Rules. The Markets Disciplinary Panel gave State One, which has offices in Perth and Sydney, an infringement notice on 31 March 2016 for failing to comply ...

UBS fined for careless conduct

DARREN SNYDER  |  WEDNESDAY, 21 NOV 2018
ASIC's Markets Disciplinary Panel confirmed UBS Securities paid a $120,000 fine for breaching market integrity rules over a series of trades on the ASX in 2017. The Markets Disciplinary Panel issued the infringement notice for transactions in relation ...

Advice and stock broking firm fined $35k

HARRISON WORLEY  |  WEDNESDAY, 13 JUN 2018
... private wealth investors has copped a $35,000 fine to comply with an infringement notice served by the markets disciplinary panel. The markets and disciplinary panel believed Wilsons Advisory and Stockbroking contravened regulatory data rules by failing ...

FSC and FOS appoint former ASX chief risk officer

ALEX BURKE  |  TUESDAY, 30 JAN 2018
... Anne Brown joins the Life Code Compliance Committee (LCCC) while also serving as a member of ASIC's markets disciplinary panel and a non-executive director of the Clean Energy Regulator. Previously, Brown was the ASX's chief risk officer, as well as ...

Penalty issued for ASX rules breach

JAMIE WILLIAMSON  |  THURSDAY, 16 NOV 2017
... corporate regulator. Bell Potter Securities, part of Bell Financial Group, has been ordered by ASIC's Markets Disciplinary Panel to pay the fine for breaching the ASX Market Integrity Rules. The MDP found that in July 2015 Bell Potter, acting on its ...