Search Results | Showing 21 - 30 of 34 results for "Markets Disciplinary Panel" |
| | ... program for clients who received advice from Fong and suffered a financial loss. Meanwhile, ASIC's Markets Disciplinary Panel slapped Macquarie Securities with a $505,000 fine for trading "recklessly." An investigation in 2014 found Macquarie customised ... |
| | | UBS Securities paid $280,000 in penalties following two infringement notices issued by ASIC's Markets Disciplinary Panel. The first infringement notice pertained to UBS' PIN crossing system, in which orders are executed based on algorithms reflecting ... |
| | | Financial services firm Pershing Securities paid a $40,000 infringement notice issued by ASIC's Markets Disciplinary Panel after a failure of its automated processing system. In a statement released by ASIC, the Markets Disciplinary Panel said they ... |
| | | ... deceased client and entering into unauthorised market transactions following the client's death. The Markets Disciplinary Panel (MDP) had reasonable ground to believe that CommSec broke subsection 798H(1) of the Corporations Act by reason of breaking ... |
| | | ... Stanley Australia has paid a penalty of $123,750 to comply with an infringement notice handed down by the Markets Disciplinary Panel (MDP). The MDP said it had "reasonable grounds" to believe that Morgan Stanley had contravened subsection 798H(1) of ... |
| | | ... penalties and voluntarily refunded $1.1 million in brokerage. The infringement notices were given by ASIC's Markets Disciplinary Panel, which the regulator said "had reasonable grounds to believe CommSec contravened subsection 798H(1) of the Corporations ... |
| | | ASIC has appointed the chair of its markets disciplinary panel. Serving a two-year term from August 1, Simon Gray is the former deputy chair of the panel. He is also the deputy chief executive of Shaw and Partners, a member of ASIC's market supervision ... |
| | | ... Financial Planning Association of Australia. This appointment follows the news that VFMC has appointed ASIC markets disciplinary panel chair Lisa Gay and former NAB executive general manager corporate affairs Paula Bensom as two new directors of the ... |
| | | ... education sectors. Gay is currently chair of the Australian Securities and Investment Commission's (ASIC) Markets Disciplinary Panel, a non-executive director at Koda Capital, and a member of the Council of Trustees at the National Gallery of Victoria. ... |
| | | ... Australia has been forced to pay a $96,000 fine to comply with an infringement notice given to it by the Markets Disciplinary Panel. The Australian Securities and Investments Commission (ASIC) said the company received the penalty for failing to have ... |
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