First Conviction Of Market Misconduct Under The Joint Investigations Arrangement With The Commercial Affairs...

Mr Tey Thean Yang Dennis (Tey) was today sentenced to a total of 16 weeks’ imprisonment as a result of a conviction arising from...

Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures

The Securities and Exchange Commission today announced that a New York-based brokerage firm has agreed to pay a $100,000 penalty to settle charges of...

ASIC Reports on Conduct in Funds Management and Makes Recommendations for Improved Compliance

ASIC has reported on the findings of its' proactive surveillance of responsible entities' compliance with their legal obligations. These are entities that operate managed...

FMA Files Crimes Act Charges Against Steven Robertson

The Financial Markets Authority (FMA) has filed criminal charges against Steven Robertson in the Auckland District Court under the Crimes Act 1961. Mr Robertson faces...

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