MDP issues infringement notice to Ascot Securities for serious failures
The Markets Disciplinary Panel (MDP) issued an infringement notice to Ascot Securities Pty Ltd (Ascot) on 24 November 2023 for serious failures, requiring it to pay a penalty of $3.1 million and enter into an enforceable undertaking. The date for compliance with the infringement notice was 21 December 2023. Ascot elected not to comply. Ascot …
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