Page 2 - Integrity Rules News Today

BGC Partners has paid a $110,250 penalty to comply with an infringement notice. Brokerage firm BGC Partners has paid a penalty of $110,250 to comply with an infringement notice from ASIC’s Markets

<p><span>ASIC has concluded its investigation and consideration of the November 2020 market outage at the ASX. Additional licence conditions have been imposed on three licences held within the ASX Group. The licence conditions are directed at mitigating risks for future upgrades, with specific emphasis on the oversight of the CHESS Replacement Program, due to go live in April 2023.  </span></p>

ASIC has concluded its investigation and consideration of the November 2020 market outage at the ASX. Additional licence conditions have been imposed

ASIC has today released Consultation Paper 347 Proposed amendments to the prohibition on order incentives in the ASIC market integrity rules (CP...

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Macquarie Securities cops fine for market breaches Macquarie Securities cops fine for market breaches The banking giant’s broking arm has been slapped with a fine of over $100,000 for breaches of market integrity rules. A A Macquarie Securities has paid a fine of $126,000 over rules it broke while acting as the broker for a buy-back for an ASX-listed firm.  The ASIC Market Disciplinary Panel (MDP) stated it has reasonable grounds to believe that Macquarie Securities contravened rule 3.3.1(b)...

ASIC slaps Macquarie Securities with fine By Reporter Macquarie Securities has coughed up a penalty over a market integrity breach. Macquarie Securities has paid a fine of $126,000 over rules it broke while acting as the broker for a buy-back for an ASX-listed firm.  The ASIC Market Disciplinary Panel (MDP) stated it has reasonable grounds to believe that Macquarie Securities contravened rule 3.3.1(b) of the ASIC Market Integrity Rules (Securities Ma...

Shareholders in the parent company of the Hard Rock Casino Northern Indiana are seeking an immediate halt to new state rules requiring greater disclosure of financial records and business interests.