Tag Archives: market integrity

ASIC UBS Market Integrity Fine

On Nov. 20, ASIC announced UBS paid AUS$120,000 penalty. UBS Securities Ltd (UBS) paid AUS$120k to settle infringement notice penalty. Findings Panel believed UBS contravened ASIC Market Integrity Rules (ASX Market) 2010. Transactions relating to six on-market buy-backs conducted in 2017 were not in the ordinary course of trading/not in accordance with the clients’ instructions.…
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