All Entries in the "Commonwealth Securities" Category

ASX Fines Commonwealth Securities

The ASX Disciplinary Tribunal (the ‘Tribunal’) has imposed a total fine of $45,000 (plus GST) on Commonwealth Securities Limited (‘CommSec’) for failing to prevent actions that interfered with the efficiency and integrity of the market. The Tribunal determined the following: CommSec contravened the following ASX Market Rules*, between 2 November 2007 and 16 January 2008 [...]