SFC bans former Citigroup Global Markets Asia officer for 10 years LeapRate

SFC bans former Citigroup Global Markets Asia officer for 10 years

When a trader told a client that CGMAL advertised facilitation flow using "Natural" IOIs, Shaw instructed the trader to deceive clients about the source of liquidity behind such IOIs. Furthermore, he misrepresented the client to maintain the falsehood created by the mislabeled IOI. Since at least 2015, Shaw has provided inaccurate information to clients or…

June 09, 2017 BY Valentina Kirilova

Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

Citigroup Global Markets Australia Pty Ltd has paid a penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP announced that had reasonable grounds to believe that Citigroup had contravened subsection 798H(1) of the Corporations Act 2001 by failing to comply with Rules 3.1.7(1), 3.1.10,…

Tag: Citigroup Global Markets

SFC bans former Citigroup Global Markets Asia officer for 10 years

Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

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