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Showing 41 - 50 of 57 results for "market integrity rules"

New dark pool transparency rules introduced

MARK SMITH  |  TUESDAY, 6 AUG 2013
... transparency. Minister Assisting for Financial Services and Superannuation David Bradbury announced a package of market integrity rules just prior to parliament being pro-rogued that directed at better protecting investors and the stability of Australia's ...

UBS fined $30,000 for decimal point mistake

MARK SMITH  |  FRIDAY, 19 JUL 2013
... BetaShares ETF to fall by 99%. Markets Disciplinary Panel (MDP) issued an infringement notice for the breach of market integrity rules. On 16 December 2011, UBS submitted an order on behalf of a client to sell 1,800 units in the Australian dollar hedged ...

Merrill Lynch to pay $120k over compliance infringement

JAMES FERNYHOUGH  |  MONDAY, 3 JUN 2013
... between 1 August 2010 and 24 May 2011, Merrill Lynch had been in contravention of Rule 5.6.3(a) of the ASIC Market Integrity Rules (ASX Market) 2010. Merrill Lynch had a poor compliance history, including a similar contravention which received the attention ...

New rules for HFT trading

BEN COLLINS  |  WEDNESDAY, 21 NOV 2012
Retail investors will be protected from the downsides of high frequency trading by a new package of market integrity rules, said Bill Shorten, Minister for Financial Services and Superannuation. Announced yesterday, the new rules include the use of ...

Barclays cops $80,000 fine

LINDA HAUSKEN  |  TUESDAY, 16 OCT 2012
... to issue infringement notices and accept enforceable undertakings in relation to alleged breaches of the market integrity rules.

ASIC targets securities dealers

MELANIE TIMBRELL  |  TUESDAY, 14 AUG 2012
... period. The matters involved potential insider trading (13), market manipulation (5), possible breaches of market integrity rules (15) and of the continuous disclosure obligations (3).

HFT and dark pools keep ASIC on its toes

MELANIE TIMBRELL  |  TUESDAY, 7 FEB 2012
... of contention in the Australian Securities and Investment Commission's extended consultation process on market integrity rules, according to one industry expert. Australian Securities and Investment Commission's (ASIC) announced an extension of submission ...

ASIC annual report highlights industry trends

ELISE BURGESS  |  MONDAY, 31 OCT 2011
... investors, fair financial markets and efficient registration and licensing including the development of new market integrity rules for competition in exchanges like Chi-X and assuming responsibility for day-to-day, real-time market supervision of the ...

Chi-X and ASX go head to head

CLAIRE MCGREAL  |  MONDAY, 31 OCT 2011
... amounting to approximately $23 million of savings for industry participants in 2010-11". Meanwhile, ASIC's market integrity rules for capital for Chi-X have been closely modelled on ASX rules to "ensure a level playing field" for the two equities markets. ...

ASIC releases equity market structure paper

ELISE BURGESS  |  MONDAY, 24 OCT 2011
... structure issues assessing the latest developments in Australia's financial markets. Looking at proposed market integrity rules for a variety of products and services, Consultation Paper 168 Australian equity market structure: Further proposals (CP 168) ...