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Showing 1 - 4 of 4 results for "Accredited Derivatives Adviser"

ASIC consults on market integrity rules

ANNABELLE DICKSON  |  THURSDAY, 1 JUL 2021
The corporate regulator has opened consultation on proposed amendments to market integrity rules that aim to reduce the regulatory burden on participants. ASIC's Consultation Paper 342 Proposed amendments to the ASIC market integrity rules and other ...

AAT upholds adviser appeal against ASIC

EMMA RAPAPORT  |  TUESDAY, 24 JAN 2017
... The Administrative Appeals Tribunal upheld an appeal by Tony Davidof, a former Macquarie Equities accredited derivatives adviser, against the Australian Securities and Investments Commission. In 2015, ASIC banned Davidof from providing financial services ...

ASIC bans former Macquarie adviser for market manipulation

ALEX BURKE  |  FRIDAY, 18 DEC 2015
ASIC has banned a former Macquarie Equities accredited derivatives adviser for market manipulation. Working with a former Credit Suisse employee, Tony Davidof manipulated the price of MINI derivatives via sequential buy and sell trades after both pre-arranging ...

ASIC changes market rules for Chi-X ETFs

ALEX BURKE  |  FRIDAY, 30 OCT 2015
... feedback, including the need "to clarify that advisers already accredited as a level one or level two Accredited Derivatives Adviser under the ASIC Market Integrity Rules (Chi-X) would only be able to give advice to a retail client in relation to warrants ...
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