State One Stockbroking to pay $500,000, failed to comply with market integrity rules LeapRate

November 22, 2018 BY Valentina Kirilova

State One Stockbroking to pay $500,000, failed to comply with market integrity rules

The Federal Court has ordered State One Stockbroking Limited (State One) to pay penalties totalling $350,000 after the company failed to comply with ASIC’s Market Integrity Rules (MIRs). The Court found State One contravened the Corporations Act 2001 by failing to comply with two of the ASIC Market Integrity Rules (ASX Market) 2010. The Court…

ASIC bans former State One Stockbroking executive Sean Nofal for three years

Australian financial regulator ASIC has announced that it has banned Sean Nofal from providing financial services for three years. ASIC found that on two occasions Mr Nofal's conduct fell far short of the standard that would reasonably be expected of a competent financial services provider. ASIC also found that Mr Nofal did not have sufficient…

Tag: State One Stockbroking

State One Stockbroking to pay $500,000, failed to comply with market integrity rules

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