Tag archive for ‘Fine’
Ashley Alder,  chief executive officer of the Securities and Futures Commission
By Steve On Tuesday, May 31st, 2016
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HK SFC reprimands and fines Guotai Junan Securities $1.3 million

Ashley Alder, chief executive officer of the Securities and Futures CommissionThe Securities and Futures Commission (SFC) has reprimanded and fined Guotai Junan Securities (Hong Kong) Limited (Guotai Junan) $1.3 More...

By Steve On Friday, November 8th, 2013
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ASIC Fines ABN A$130,000

Greg Medcraft ASIC chairmanOn October 30, ASIC announced that ABN AMRO Clearing Sydney Pty Ltd (“ABN AMRO”) had paid a penalty of $130,000 to comply with an infringement notice given to it by the MDP. By More...

By Steve On Friday, November 8th, 2013
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ASIC Fines UBS A$50,000

Greg Medcraft ASIC chairmanOn October 22, ASIC announced that UBS Securities Australia Limited (UBS) had paid a penalty of $50,000 to comply with an infringement notice given to it by the MDP. The penalty was for More...

By Steve On Sunday, April 28th, 2013
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HK SFC Reprimands and Fines Sun Hung Kai Investment Services Limited

Ashley Alder, HK SFC CEOThe Securities and Futures Commission (SFC) has reprimanded Sun Hung Kai Investment Services Limited (SHKIS) and fined it $1.5 million for internal control failures relating to an erroneous More...

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By Steve On Thursday, August 16th, 2012
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SFC Reprimands and Fines RBC Investment Management (Asia) HK$4 million

Mark Steward SFC’s Executive Director of Enforcement The Securities and Futures Commission (SFC) has reprimanded and fined RBC Investment Management (Asia) Limited (RBC) HK$4 million in relation to its provision More...

By Steve On Tuesday, July 3rd, 2012
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HK SFC Reprimands and Fines IMC Asia Pacific Limited $1.5 million

The Securities and Futures Commission (SFC) has reprimanded IMC Asia Pacific Limited (IMC) and fined it $1.5 million for regulatory breaches and internal control failings (Note 1). The disciplinary action follows More...

By Steve On Monday, January 16th, 2012
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ASX Fines Goldman $50K For Breach of Client Money

The ASX Disciplinary Tribunal (the ‘Tribunal’) has imposed a fine of $50,000 (plus GST) on Goldman Sachs Australia Pty Limited (‘GSA’) for failing to ensure that client monies were treated in accordance More...

By Steve On Tuesday, October 18th, 2011
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ASIC Markets Disciplinary Panel Fines Paterson $25K

ASIC announced September 30 Patersons Securities Ltd (Patersons) has paid a penalty of $25,000 and provided training to its Designated Trading Representatives in order to comply with an infringement notice given More...

By Steve On Friday, September 30th, 2011
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ASX Fines BBY $65000

The ASX Disciplinary Tribunal (the ‘Tribunal’) has imposed a fine of $65,000 (plus GST) on BBY Limited (‘BBY’) for failing to prevent the submission of Trading Messages by its automated order processing More...

By Steve On Saturday, September 17th, 2011
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HK SFC Gives $7.5M Fine to Oasis

The Securities and Futures Commission (SFC) has publicly reprimanded Oasis Management (Hong Kong) LLC (Oasis) and its Chief Investment Officer, Mr Seth Hillel Fischer, and fined each of them $7,500,000 for their More...

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