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ASIC: Macquarie Securities Pays $126,000 Infringement Notice

ASIC: Macquarie Securities Pays $126,000 Infringement Notice
Date
Macquarie Securities (Australia) Limited (‘
MSAL’) has paid a penalty of $126,000 to comply with an infringement notice given by the Markets Disciplinary Panel (‘the
MDP’).
ASIC Market Integrity Rules (Securities Markets) 2017 (‘the
Rules’) by entering into a market transaction that was not in accordance with the client’s instructions.
MSAL were engaged by an ASX-listed company to act as the broker to conduct, on behalf of the company, an on-market buy-back. An on-market buy-back is a buy-back of shares on a market in the ordinary course of trading. The MDP was satisfied that the client’s instructions included an overarching instruction for the buy-back to be conducted in the ordinary course of trading. The MDP considers that orders that are matched otherwise than in price / time priority are not in the ordinary course of trading. ....

Centre Point , Macquarie Securities Australia Limited , Disciplinary Panel , Macquarie Securities , Market Integrity Rules , Securities Markets , மையம் பாயஂட் , ஒழுக்கம் குழு , மக்வரீ பத்திரங்கள் , சந்தை நேர்மை விதிகள் , பத்திரங்கள் சந்தைகள் ,

ASIC commences civil penalty proceedings against CommSec and AUSIEX for systemic compliance failures

Date Time
ASIC commences civil penalty proceedings against CommSec and AUSIEX for systemic compliance failures
ASIC has commenced civil penalty proceedings in the Federal Court against Commonwealth Securities Limited (CommSec) and Australian Investment Exchange Limited (AUSIEX) for alleged breaches of the Market Integrity Rules, Corporations Act and ASIC Act (CommSec only) relating to systemic compliance failures in the delivery of financial services.
ASIC alleges the conduct spanned a significant period of time and involved failures across multiple systems and business areas. Commsec and AUSIEX submitted over 60 notifications to ASIC relating to the conduct.
It is ASIC’s view that the number, breadth and duration of the conduct is significant and indicates the entities did not have adequate systems and processes in place to ensure compliance with their relevant obligations under their Australian Financial Services licence (AFS licence) and pursuant to the Market ....

Australia Limited , Commonwealth Securities Limited Commsec , Australian Financial Services , Australian Investment Exchange Limited , Commonwealth Bank , Disciplinary Panel , Court Enforceable , Federal Court , Commonwealth Securities Limited , Market Integrity Rules , Corporations Act , Market Integrity , Agreed Facts , Best Execution Policy Disclosure , Markets Disciplinary Panel , Court Enforceable Undertaking , Chix Limited , Australian Securities And Investments Commission , Enforceable Undertaking , Financial Services , Civil Penalty , ஆஸ்திரேலியா வரையறுக்கப்பட்டவை , ஆஸ்திரேலிய நிதி சேவைகள் , ஆஸ்திரேலிய முதலீடு பரிமாற்றம் வரையறுக்கப்பட்டவை , காமன்வெல்த் வங்கி , ஒழுக்கம் குழு ,

CommSec facing ASIC action on overcharged brokerage fees

Print
The Commonwealth Bank’s brokerage business, CommSec is facing civil action initiated by the Australian Securities and Investments Commission (ASIC) alleging it overcharged brokerage fees to customers on 120,933 occasions, totalling $4,352,194 for nearly 10 years.
ASIC announced it has commenced civil penalty proceedings in the Federal Court against Commonwealth Securities Limited (CommSec) and Australian Investment Exchange Limited (AUSIEX) for alleged breaches of the Market Integrity Rules, Corporations Act and ASIC Act (CommSec only) relating to systemic compliance failures in the delivery of financial services.
In the case of Commsec, ASIC is alleging the overcharging of brokerage fees occurred between August 2010 and February 2020. ....

Commonwealth Securities Limited Commsec , Australian Financial Services , Australian Investment Exchange Limited , Investments Commission , Commonwealth Bank , Australian Securities , Federal Court , Commonwealth Securities Limited , Market Integrity Rules , Corporations Act , ஆஸ்திரேலிய நிதி சேவைகள் , ஆஸ்திரேலிய முதலீடு பரிமாற்றம் வரையறுக்கப்பட்டவை , முதலீடுகள் தரகு , காமன்வெல்த் வங்கி , ஆஸ்திரேலிய பத்திரங்கள் , கூட்டாட்சியின் நீதிமன்றம் , காமன்வெல்த் பத்திரங்கள் வரையறுக்கப்பட்டவை , சந்தை நேர்மை விதிகள் , நிறுவனங்கள் நாடகம் ,

ASIC Commences Civil Penalty Proceedings Against CommSec And AUSIEX For Systemic Compliance Failures

ASIC Commences Civil Penalty Proceedings Against CommSec And AUSIEX For Systemic Compliance Failures
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Australia Limited , Commonwealth Securities Limited Commsec , Australian Financial Services , Australian Investment Exchange Limited , Commonwealth Bank , Disciplinary Panel , Court Enforceable , Federal Court , Commonwealth Securities Limited , Market Integrity Rules , Corporations Act , Market Integrity , Agreed Facts , Best Execution Policy Disclosure , Markets Disciplinary Panel , Court Enforceable Undertaking , Chix Limited , ஆஸ்திரேலியா வரையறுக்கப்பட்டவை , ஆஸ்திரேலிய நிதி சேவைகள் , ஆஸ்திரேலிய முதலீடு பரிமாற்றம் வரையறுக்கப்பட்டவை , காமன்வெல்த் வங்கி , ஒழுக்கம் குழு , கூட்டாட்சியின் நீதிமன்றம் , காமன்வெல்த் பத்திரங்கள் வரையறுக்கப்பட்டவை , சந்தை நேர்மை விதிகள் , நிறுவனங்கள் நாடகம் ,