ubs pays $50,000 infringement notice penalty

13-287MR UBS Securities Australia Ltd pays $50,000 infringement notice penalty

Tuesday 22 October 2013


UBS Securities Australia Ltd ('UBS') has paid a penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ('MDP'). The penalty was for conduct which resulted in a market for a put option not being both fair and orderly.........

http://www.asic.gov.au/asic/asic.nsf/byHeadline/13-287MR%20UBS%20Securities%20Australia%20Ltd%20pays%20%2450%2C000%20infringement%20notice%20penalty?opendocument