Page 9 - ரிச்சர்ட் தீக்காயங்கள் News Today : Breaking News, Live Updates & Top Stories | Vimarsana

Date Time CBA acknowledges ASIC proceedings against CommSec and AUSIEX The proceedings relate to errors that were reported to ASIC by CommSec and AUSIEX. CommSec and AUSIEX have engaged extensively and co-operatively with ASIC. ASIC has today also filed with the Federal Court and published on its website a Statement of Agreed Facts and Contraventions, recognising that co-operation and that CommSec and AUSIEX do not intend to defend the proceedings. The proceedings relate to issues in respect of regulatory data requirements, trade confirmation requirements (primarily related to exchange traded options), best execution requirements and reconciliations of client monies. In addition, for CommSec only, the proceedings relate to issues in respect of brokerage payments, warrant agreement forms and automated order processing filters.

Richard burnsFederal courtAgreed factsManaging directorCommonwealth bankரிச்சர்ட் தீக்காயங்கள்கூட்டாட்சியின் நீதிமன்றம்நிர்வகித்தல் இயக்குனர்காமன்வெல்த் வங்கி