Australia tribunal upholds ban of client adviser for trading in ‘mini’ warrants as Hong Kong watchdog fines Credit Suisse regulatory breaches involving disclosure and market making activities.
The Administrative Appeals Tribunal (AAT) has affirmed the Australian Securities and Investments Commission’s (ASIC) decision to ban Mark Menzies, the sole director and officer of Menzies Securities from providing financial services. In its decision the AAT determined that the ban be varied to expire on 31 December 2020 after the Australian regulator had banned Menzies for a period of four years, expiring on 28 January 2022. ASIC’s decision to ban Menzies followed an investig
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