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Markets Disciplinary Panel

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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
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Online stock broker to pay a penalty of $200,000

28/09/2017(0)
The Australian Securities and Investments Commission has issued today an announcement to inform that an online stockbroker that provides execution-only brokerage services pays $200,000 infringement notice penalty. According the announcement, ... Read More
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Merrill Lynch (Australia) Futures pays $60,000 in infringement notice penalty

12/09/2017(0)
Merrill Lynch (Australia) Futures Limited (“MLAF”) has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“the MDP”). The ... 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
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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
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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
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CommSec pays $700,000 in infringement notice penalties and refunds $1.1 million in brokerage

02/09/2016(0)
Commonwealth Securities Limited (“CommSec”) has paid a total penalty of $700,000 to comply with two infringement notices given to it by the Markets Disciplinary Panel (“MDP”), and has voluntarily refunded ... Read More
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Deutsche Bank AG pays $20,000 infringement notice penalty

13/04/2016(0)
Deutsche Bank Aktiengesellschaft (“Deutsche Bank AG”) has paid a penalty of $20,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The penalty was for ... Read More
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Credit Suisse AG pays $88,400 infringement notice penalty

04/08/2014(0)
The Australian Securities and Investments Commission has published the following announcement regarding a fine charged against Credit Suisse AG: Credit Suisse AG (“Credit Suisse”) has paid a penalty of ... Read More
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