Tag: infringement notice

April 28, 2015 BY Andrew Saks-McLeod

ASIC fines FCStone Australia $130,000 for administrative failings

Australia's national financial markets regulator ASIC has accepted a $130,000 (AUD) payment from FCStone Australia for infringements relating to risk management procedure and the filing of administrative reconciliations

September 23, 2014 BY Andrew Saks-McLeod

Etrade Australia Securities Limited pays $55,000 infringement notice penalty

Following a finding by the Markets Disciplinary Panel that Etrade executed an on-market trade which moved the SYI price from $27.15 to $20.00 in June 2013, the firm was issued an infringement notice to the tune of $55,000

Tag: infringement notice

ASIC fines FCStone Australia $130,000 for administrative failings

Etrade Australia Securities Limited pays $55,000 infringement notice penalty

Indian Regulator Looks at Adani Stock Manipulation

EUR/USD Weaker On The Back Of Preliminary Eurozone PMI Data

Visa Beats Profit Predictions As Credit Card Spending Grows

Tesla Cuts Prices In Major Markets

Meta Looking For Tech Partners To Use Meta Quest