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Showing 1 - 10 of 29 results for "Markets Disciplinary Panel"

Trading platform cops $110k fine

KARREN VERGARA  |  TUESDAY, 18 JAN 2022
... BGC Partners breached the ASX 24's trading rules on two occasions on 22 March 2019, according to the Markets Disciplinary Panel, by transacting pre-negotiated business orders without making the required enquiry through the market's message facility. ...

New members on Markets Disciplinary Panel

JAMIE WILLIAMSON  |  THURSDAY, 2 DEC 2021
ASIC has made a series of appointments to its Markets Disciplinary Panel, adding executives from Barrenjoey and Macquarie Group. With seven members retiring, ASIC has welcomed three new appointees to the peer-review panel which determines whether infringement ...

ASIC fines trading firm

ANNABELLE DICKSON  |  WEDNESDAY, 23 JUN 2021
... undertaking after it was found to have inappropriate supervisory policies and procedures in place. The Markets Disciplinary Panel (MFP) gave Life Trading an infringement notice as it believed the trading firm contravened Rule 2.2.8 of the ASIC Market ...

Macquarie Securities slapped with $126k fine

KARREN VERGARA  |  TUESDAY, 18 MAY 2021
... for breaching market integrity rules, making this its fifth infringement in the last six years. The Markets Disciplinary Panel (MDP) found that MSA failed to follow a client's instruction with respect to an on-market buyback on the "dark market". ...

ASIC drags CommSec to court

ELIZABETH MCARTHUR  |  MONDAY, 1 MAR 2021
... Centrepoint as an execution centre for clients. Usually, ASIC would pursue a matter like this through the Markets Disciplinary Panel but given the severity and duration of the breaches ASIC is seeking a civil penalty. CommSec has appeared before the ...

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 ...
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