ASIC roundup: “Brazen, gross, and callous” conduct, and prison for ponzi scheme

The Australian Securities & Investments Commission’s latest actions and news, August 26 – September 3, 2024.

CLSA pays A$144,300 for providing incorrect data – August 29, 2024

CLSA Australia Pty Limited has paid a penalty of A$144,300 ($97,864) to comply with an infringement notice for failing to provide correct regulatory data to the relevant Market Operator.

According to the Markets Disciplinary Panel, CLSA failed to give post trade confirmations to

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