The penalty is a result of an infringement notice by the Markets Disciplinary Panel for on-market buy-backs of shares....
Macquarie has paid a $300,000 penalty to comply with an infringement notice given by the MDP....
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...
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....
ASIC has appointed Shaw and Partners deputy chief officer, Simon Gray, as its new chairman of the Markets Disciplinary Panel....
Interesting. Would be good to know the details of the StrategyOne deal....
It’s astonishing to see the FAAA now pushing for more advisers by courting "career changers" and international recruits,...
increased professionalism within the industry - shouldn't that say, FAR register almost halving in the last 24 months he...