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How ASIC puts its lofty ambitions into practice

ASIC has unpacked the importance of strengthened penalties as part of its market supervision and how it determines regulatory action.

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How the corporate regulator puts its lofty ambitions into practice

Keep up to date with all the latest announcements and changes regarding regulations impacting the Australian financial sector.

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Trading platform pays $830k over suspicious trades

Interactive Brokers is paying a fine of more than $830,000 after it failed to identify suspicious trades conducted by a client.

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ASIC: Interactive Brokers Pays $832,500 Penalty For Negligent And Reckless Conduct

ASIC: Interactive Brokers Pays $832,500 Penalty For Negligent And Reckless Conduct
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Interactive Brokers pays $832k fine for negligent and reckless conduct

The firm allowed suspicious trading activity to continue, says regulator

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