Markets Disciplinary Panel

Functions, policies and procedures

The Markets Disciplinary Panel (MDP) is a peer review panel from which sitting panels are drawn to make decisions about whether infringement notices should be issued or enforceable undertakings should be accepted for alleged breaches of the market integrity rules by market participants.

The policies that are applied, and the procedures that are followed, by the MDP in exercising its powers and performing its functions are set out in ASIC Regulatory Guide 216.

Membership

The membership of the MDP comprises persons with significant market or professional experience. The members of the MDP have, or have had, senior roles in broking firms and investment banks.

View the current list of MDP members

MDP Outcomes Register

This register contains details of the outcomes of decisions of the MDP in relation to alleged breaches of the market integrity rules.

The outcomes may include infringement notices and enforceable undertakings, details of which will be included in the register. They will usually be accompanied by a media release.

Where the MDP makes no adverse findings in relation to a matter, the register will include a summary of that finding, usually without disclosing the name of the market participant.

View the MDP Outcomes Register

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What's new

Operators of binary options trading boiler room banned following conviction

8 February 2018

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Charges laid against former FX trader

7 February 2018

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ASIC removes licence conditions imposed on OpenMarkets Australia Limited

2 February 2018

Read the media release

ASIC commences civil penalty proceedings against CBA for BBSW conduct

30 Januay 2018

Read the media release

More media releases on markets

MECS portal

The market entity compliance system (MECS) provides market entities with tools and information to assist with compliance.

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Last updated: 15/07/2013 12:00