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Policy & Regulation
The penalty is a result of an infringement notice by the Markets Disciplinary Panel for on-market buy-backs of shares....
Policy & Regulation
Macquarie has paid a $300,000 penalty to comply with an infringement notice given by the MDP....
Policy & Regulation
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...
Policy & Regulation
CommSec paid a penalty of $700,000 to comply with two infringement notices and voluntarily refunded $1.1 million in brokerage to over 25,000 clients....
Funds management
ASIC has appointed Shaw and Partners deputy chief officer, Simon Gray, as its new chairman of the Markets Disciplinary Panel....
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MARKET INSIGHTS
Podcast
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...
This verdict highlights something deeply wrong and rotten at the heart of the FSCP. We are witnessing a heavy-handed, op...
Interesting. Would be good to know the details of the StrategyOne deal....