January 16, 2017 BY Valentina Kirilova
Pershing Securities pays $40,000 in infringement notice penalty
Pershing Securities Australia Pty Ltd has paid a penalty of $40,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP), ASIC just announced. In December 2015, a market-making client of Pershing with direct market access through their AOP system had entered orders into the trading platform of ASX in…
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