MDP Outcomes Register

About this register

2017

Date

Market participant

Media release

MDP outcome

Market integrity rule

12/09/2017

Merrill Lynch (Australia) Futures Limited

17-311MR

MDP08/17

ASX 24 Market

Rule 2.2.1(1)(a), (b):
Limits and connections 

Rule 2.2.1(1)(c):
Limits and connections (no breach)

Rule 2.2.8:
Supervisory procedures (no breach)

3/8/2017 Not disclosed N/A Anonymised Circular 01/17 ASX Market

5.9.1:
Market must remain fair and orderly (no breach)

23/6/2017 Macquarie Securities (Australia) Limited 17-198MR Infringement notice not gazetted for legal reasons Chi-X Market

5.5.2: Organisational and technical resources

5.6.1: Responsible use of system for Automated Order Processing

5.7.1: False or misleading appearance

15/6/2017 UBS Securities Australia Limited 17-185MR MDP 06/17
MDP 07/17
MDP 06/17

ASX and Chi-X Market

3.4.1:
Confirmations - Form and timing 

Competition in Exchange Market

5A.2.1:
Participant to provide Regulatory Data with Orders and Trade Reports 


MDP 07/17 

Competition in Exchange Market 

4A.4.2:
Fairness and priority in dealing 

4A.5.1:
Monitoring activities in a Crossing System

9/6/2017 Citigroup Global Markets Australia Pty Ltd 17-180MR MDP05/17 ASX 24 Market

3.1.7(1):
Disclosure

3.1.10:

Pre-arrangement

3.1.11:

Trading to the exclusion of others

15/3/2017

Credit Suisse Equities (Australia) Limited 

17-064MR

MDP04/17

ASX Market

5.6.1: 
Responsible use of system for Automated Order Processing

23/2/2017

BGC Partners (Australia) Pty Limited

17-042MR

MDP03/17

ASX 24 Market

3.3.1A:
Entry of orders

3.3.2
:
Client authorisation

20/2/2017

Share Investing Limited

17‑035MR

MDP02/17

ASX Market

5.7.1: False and misleading appearance

16/1/2017

Pershing Securities Australia Pty Ltd

17‑006MR

MDP01/17

ASX Market

5.6.1: Responsible use of system for Automated Order Processing

2016

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

21 November 2016

State One Stockbroking Ltd

  MDP09/16 MIR 5.7.1(b)(iii) and 5.5.2(b)
ASIC Market Integrity Rules (ASX Market) 2010  

16 November 2016

Commonwealth Securities Limited

2016-08

MDP08/16

MIR 2.1.3, 3.3.1(b), 3.3.1(c) - ASIC Market Integrity Rules (ASX Market) 2010

7 September 2016

Morgan Stanley Australia Securities Limited

2016-07

MDP07/16

MIR 2.3.3(1), (2), (3)(f), (3)(g) and (4), 2.3.5, 2.3.2(2) - ASIC Market Integrity Rules (ASX 24 Market) 2011

2 September 2016

Commonwealth Securities Limited

2016-06
2016-05

MDP06/16
MDP05/16

MIR 3.2.3 and MIR 3.4.1(3)(f) and Chi-X MIR 3.4.1(3)(f) - ASIC Market Integrity Rules (ASX Market) 2010 and MIR 5.5.2 - ASIC Market Integrity Rules (ASX Market) 2010

28 June 2016

Macquarie Securities (Australia) Limited

2016-04

MDP04/16

MIR 5.6.1 and MIR 5.9.1 - ASIC Market Integrity Rules (Chi-X Australia Market) 2011

20 May 2016

Credit Suisse Equities (Australia) Limited

2016-03

MDP03/16

MIR 5.6.1 - ASIC market integrity rules (ASX Market) 2010

28 April 2016

ABN AMRO Clearing Sydney Pty Ltd

2016-02

MDP02/16

MIR 3.3.1A - ASIC market integrity rules (ASX 24 Market) 2010

13 April 2016

Deutsche Bank AG

2016-01

MDP01/16

MIR 3.3.1A - ASIC market integrity rules (ASX 24 Market) 2010

2015

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

10 December 2015

Macquarie Securities (Australia) Limited

2015-07

MDP7/15

MIR 2.5.3 - ASIC market integrity rules (ASX Market) 2010

10 December 2015

D2MX Pty Ltd

2015-06

MDP6/15

MIR 5.6.3(a) and MIR 5.9.1 - ASIC market integrity rules (ASX Market) 2010

9 December 2015

Etrade Australia Securities Limited

2015-05

MDP5/15

MIR 5.9.1 - ASIC market integrity rules (ASX Market) 2010

9 December 2015

Australian Investment Exchange Limited

2015-04

MDP4/15

MIR 5.6.3(a) and MIR 5.9.1 - ASIC Market Integrity Rules (ASX Market) 2010

23 September 2015

D J Carmichael Pty Limited

2015-03

MDP3/15

MIR 5.7.1(b)(i) - ASIC Market Integrity Rules (ASX Market) 2010

14 May 2015

ICAP Futures (Australia) Pty Ltd

2015-02

MDP2/15

MIR 3.1.11 and 3.3.1A(1) of the ASIC Market Integrity Rules (ASX 24 Market) 2010

28 April 2015

FC Stone Australia Pty Ltd

2015-01

MDP1/15

MIR 2.2.1(1)(b), MIR 2.3.2, MIR 2.3.3(2), MIR 2.3.4(a) and MIR 6.2.1(6) of the ASIC Market Integrity Rules (ASX 24 Market) 2010

2014

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

27 October 2014

Commonwealth Securities Limited

2014-15

MDP15/14

MIR 4.3.2 of the ASIC Market Integrity Rules (Competition in Exchange Markets) 2011

27 October 2014

ABN AMRO Clearing Sydney Pty Ltd

2014-14

MDP14/14

MIR 2.2.1(1)(b) of the ASIC Market Integrity Rules (ASX 24 Market) 2010

23 September 2014

Etrade Australia Securities Limited

2014-13

MDP13/14

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

11 September 2014

BBY Limited

2014-12

MDP12/14

MIR 5.6.3(a) of the ASIC Market Integrity Rules (ASX Market) 2010

11 September 2014

Merrill Lynch Equities (Australia) Limited

2014-11

MDP11/14

MIR 5.6.1 and 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

1 September 2014

Goldman Sachs Australia Pty Ltd

2014-10

MDP10/14

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

1 September 2014

 

Taylor Collison Limited

2014-09

MDP09/14

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

4 August 2014

Credit Suisse AG

2014-08

MDP08/14

MIR 2.2.4(3), 3.1.17(1) and 3.1.13(1)(b) of the ASIC Market Integrity Rules (ASX 24 Market) 2010

10 June 2014

Merrill Lynch Equities (Australia) Limited

2014-07

MDP07/14

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

6 May 2014

D2MX Pty Ltd

2014-06

MDP06/14

MIR 5.6.3(a) and 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

19 March 2014

Hartleys Limited

2014-05

MDP05/14

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

17 March 2014

Instinet Australia Pty Limited

2014-04

MDP04/14

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

17 March 2014

Commonwealth Securities Limited

2014-03

MDP03/14

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

31 January 2014

Pershing Securities Australia Pty Ltd

2014-02

MDP02/14

MIR 3.4.1(1) of the ASIC Market Integrity Rules (ASX Market) 2010

21 January 2014

Citigroup Global Markets Australia Pty Limited

2014-01

MDP01/14

MIR 2.2.1(1)(b) of the ASIC Market Integrity Rules (ASX 24 Market) 2010

2013

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

17 December 2013

Macquarie Bank Limited

2013-09

MDP09/13

MIR 2.2.6(a) of the ASIC Market Integrity Rules (ASX 24 Market) 2010

30 October 2013

ABN AMRO Clearing Sydney Pty Ltd

2013-08

MDP08/13

MIR 5.6.1, 5.6.3 and 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

22 October 2013

UBS Securities Australia Ltd

2013-07

MDP07/13

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

8 August 2013

Instinet Australia Pty Limited

2013-06

MDP06/13

MIR 5.6.1(a) of the ASIC Market Integrity Rules (ASX Market) 2010

19 July 2013

Euroz Securities Limited

2013-05

MDP05/13

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

18 July 2013

UBS Securities Australia Limited

2013-04

MDP04/13

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

12 July 2013

Credit Suisse Equities (Australia) Limited

2013-03

MDP03/13

MIR 5.6.3 and 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

31 May 2013

Merrill Lynch Equities (Australia) Limited

2013-02

MDP02/13

MIR 5.6.3(a) of the ASIC Market Integrity Rules (ASX Market) 2010

22 January 2013

Susquehanna Pacific Pty Ltd

2013-01

MDP01/13

MIR 5.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

2012

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

11 December 2012

Euroz Securities Limited

2012-09

MDP09/12

MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

4 December 2012

BGC Partners (Australia) Pty Limited

2012-08

MDP08/12

MIR 3.1.8 and MIR 3.1.11 of ASIC Market Integrity Rules (ASX 24 Market) 2010

19 November 2012

J.P. Morgan Securities Australia Limited

2012-07

MDP07/12

MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

15 October 2012

Barclays Bank PLC

2012-06

MDP06/12

MIR 2.2.6(d) of ASIC Market Integrity Rules (ASX 24 Market) 2010

27 September 2012

Credit Suisse Equities (Australia) Limited

2012-05

MDP05/12

MIR 5.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

24 September 2012

Commonwealth Securities Ltd

2012-04

MDP04/12

MIR 5.5.2 of ASIC Market Integrity Rules (ASX Market) 2010

27 August 2012

Citigroup Global Markets Australia Pty Ltd

2012-03

MDP03/12

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

28 May 2012

Commonwealth Securities Ltd

2012-02

MDP02/12

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

30 March 2012

Nomura Australia Limited

2012-01

MDP01/12

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

2011

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

12 December 2011

Austock Securities Limited

2011-02

MDP02/11

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

30 September 2011

Patersons Securities Ltd

2011-01

MDP01/11

MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

What's new

Market Integrity Update

21 September 2017

The latest issue of our monthly newsletter is now live.

Take a look at it

Sydney man faces charges for market manipulation

19 September 2017

A Sydney man has been charged with 10 counts of market manipulation.

Read the media release

Merrill Lynch (Australia) Futures pays $60,000 in infringement notice penalty

12 September 2017

Merrill Lynch has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel.

Read the media release

ASIC releases market integrity report

11 September 2017

ASIC has released its latest report on market integrity for the period 1 January to 30 June 2017.

Read the report

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Last updated: 07/05/2014 12:00