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...
The Federal Court has ordered Westpac to pay a $3.3 million penalty for its involvement in setting the BBSW in 2010. ...
A Melbourne-based financial services and credit business has been ordered by the Federal Court to pay penalties of just under nine million for multiple breaches of obliga...
Wilsons Advisory and Stockbroking Limited has been fined $35,000 for infringing the Australian Securities and Investments Commission’s Market Integrity Rules. ...
Spaceship Financial Services and Tidswell Financial services have each paid a $12,600 penalty, following an Australian Securities and Investments Commissions investigatio...
MG responsible entity has been fined $650,000 by the Federal Court for breaching continuous disclosure laws....
The ASIC Enforcement Review Taskforce has released its position paper that recommends increasing maximum civil penalty amounts for corporate and financial sector miscondu...
Findex Group and Financial Index Australia have been fined $10,800 each for misleading claims on the Findex website, ASIC said....
Not possible to coninue if the cost is given to remaining advisors ...
In Australia this was the country of a "Fair Go". This Government is using us. We need direct action and we need to figh...
I am reading a lot about the unfairness of CSLR, QAR etc etc and it is clear that there is massive inequity taking place...