Legal
UBS Securities pays $120,000 infringement notice
UBS Securities Australia has paid a penalty totalling $120,000 to comply with an infringement notice given by the Markets Disciplinary Panel. The MDP had reasonable grounds to believe that UBS contravened Rule 3.3.1(b) of the ASIC Market Integrity Rules (ASX Market) 2010. The MDP found that a number of transactions…
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