MDP

Policy & Regulation

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

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Policy & Regulation

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

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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...

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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....

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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

Interesting. Would be good to know the details of the StrategyOne deal....

4 days 4 hours ago

It’s astonishing to see the FAAA now pushing for more advisers by courting "career changers" and international recruits,...

3 weeks 2 days ago

increased professionalism within the industry - shouldn't that say, FAR register almost halving in the last 24 months he...

4 weeks 1 day ago

Insignia Financial has made four appointments, including three who have joined from TAL, to lead strategy and innovation in its retirement solutions for the MLC brand....

2 weeks 4 days ago

A former Brisbane financial adviser has been charged with 26 counts of dishonest conduct regarding a failure to disclose he would receive substantial commission payments ...

3 days 3 hours ago

Pinnacle Investment Management has announced it will acquire strategic interests in two international fund managers for $142 million....

2 days 6 hours ago