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infringement notice

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Interactive Brokers LLC pays $250,000 penalty

14/12/2017(0)
Interactive Brokers LLC (‘Interactive’) has paid a penalty of $250,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (‘the MDP’). The MDP found ... Read More
ASIC_regulator

Credit Suisse pays $170,000 in infringement notice penalty

15/03/2017(0)
Credit Suisse Equities (Australia) Limited (Credit Suisse) has paid a penalty of $170,000 to comply with an infringement notice from the Markets Disciplinary Panel (MDP). The MDP had reasonable grounds ... Read More
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Global brokerage BGC Partners pays $90,000 penalty

23/02/2017(0)
BGC Partners (Australia) Pty Limited (“BGC”) has paid a total penalty of $90,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP ... Read More
ASIC_regulator

Share Investing pays $130,000 in infringement notice penalty

20/02/2017(0)
Share Investing Limited (“Share Investing”) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had reasonable ... Read More
ASIC_regulator

Pershing Securities pays $40,000 in infringement notice penalty

16/01/2017(0)
Pershing Securities Australia Pty Ltd (“Pershing”) has paid a penalty of $40,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had ... Read More
ASIC_regulator

Findex Group and Financial Index Australia fined by ASIC

10/10/2016(0)
Findex Group Limited and Financial Index Australia Pty Ltd (FIA) have each paid a $10,800 penalty following the issuing by ASIC of infringement notices for potentially misleading claims on ... Read More
ASIC_regulator

LT Management pays infringement notice penalty

26/09/2016(0)
LT Management Pty Limited (LT Management) has paid a $10,800 infringement notice penalty after making potentially misleading statements about the cost of setting up a self-managed superannuation fund (SMSF) ... Read More
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