The Australian Securities and Investments Fee (ASIC) has imposed a million penalty on ASX Restricted, the operator of the Australian Securities Alternate, for failing to offer ample pre-trade transparency on its buying and selling This marks the primary…
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Errors
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FINRA (Monetary Business Regulatory Authority) has slapped a effective of $175,000 on BGC Monetary, together with a censure order, for the foundations’ violations round Commerce Reporting and Compliance Engine (TRACE) The corporate agreed to pay the financial penalty however…