Markets Disciplinary Panel

Funds management

A Sydney-based subsidiary of a private equity firm has received an infringement notice for alleged serious failures from the Markets Disciplinary Panel....

Policy & Regulation

Macquarie Securities pays infringement notice

It will pay a penalty of $126,000 after it was deemed to have entered a market transaction that was not in accordance with the client’s instructions....

Policy & Regulation

Credit Suisse pays $75k infringement notice

The penalty is a result of an infringement notice by the Markets Disciplinary Panel for on-market buy-backs of shares....

Policy & Regulation

Macquarie Securities pays $300,000 infringement notice

Macquarie has paid a $300,000 penalty to comply with an infringement notice given by the MDP....

Policy & Regulation

UBS Securities hit with $120,000 penalty

UBS Securities has been slapped with a $120,000 penalty by the regulator’s Markets Disciplinary Panel after it had reasonable grounds to believe that UBS contravened mark...