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....
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...
My view is that after 2026 there will be quite a bit less than 10,000 'advisers' (investment advisers) and less than 100...
Dugald makes a great point that not everyone's definition of green is the same and gives a good example. Funds have bee...
How did they get the AFSL in the first place? Given the green light by ASIC. This is terrible example of ASIC's incompet...