UBS Securities Australia Limited fined $120,000 LeapRate

UBS Securities Australia Limited fined $120,000

Australian regulator ASIC has announced earlier today that UBS Securities Australia Limited (UBS) has paid a penalty totalling $120,000 to comply with an infringement notice given by the Markets Disciplinary Panel (the MDP). 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…

June 15, 2017 BY Valentina Kirilova

UBS fined $280,000 in Australia for order execution and disclosure issues

UBS Securities Australia Limited has paid penalties totalling $280,000 to comply with two infringement notices given to it by the Markets Disciplinary Panel (the MDP), ASIC announced earlier today. The first infringement notice ($140,000) relates to the operation, use and monitoring of a crossing system known as UBS Price Improvement Network (UBS PIN). The second…

Tag: UBS Securities Australia Limited

UBS Securities Australia Limited fined $120,000

UBS fined $280,000 in Australia for order execution and disclosure issues

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