MDP Outcomes Register (2011 - 2013)
2014 - present
View the MDP Outcomes Register from 2014 onwards at MDP Outcomes Register (2014 - present)
2013
|
Date |
Recipient |
MDP circular |
Infringement notice |
Market integrity rule |
|---|---|---|---|---|
|
17 December 2013 |
Macquarie Bank Limited |
MIR 2.2.6(a) of the ASIC Market Integrity Rules (ASX 24 Market) 2010 |
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|
30 October 2013 |
ABN AMRO Clearing Sydney Pty Ltd |
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 |
MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
8 August 2013 |
Instinet Australia Pty Limited |
MIR 5.6.1(a) of the ASIC Market Integrity Rules (ASX Market) 2010 |
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|
19 July 2013 |
Euroz Securities Limited |
MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
18 July 2013 |
UBS Securities Australia Limited |
MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010 |
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|
12 July 2013 |
Credit Suisse Equities (Australia) Limited |
MIR 5.6.3 and 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010 |
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|
31 May 2013 |
Merrill Lynch Equities (Australia) Limited |
MIR 5.6.3(a) of the ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
22 January 2013 |
Susquehanna Pacific Pty Ltd |
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 |
MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010 |
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|
4 December 2012 |
BGC Partners (Australia) Pty Limited |
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 |
MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
15 October 2012 |
Barclays Bank PLC |
MIR 2.2.6(d) of ASIC Market Integrity Rules (ASX 24 Market) 2010 |
||
|
27 September 2012 |
Credit Suisse Equities (Australia) Limited |
MIR 5.6.1 of ASIC Market Integrity Rules (ASX Market) 2010 |
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|
24 September 2012 |
Commonwealth Securities Ltd |
MIR 5.5.2 of ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
27 August 2012 |
Citigroup Global Markets Australia Pty Ltd |
MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
28 May 2012 |
Commonwealth Securities Ltd |
MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
30 March 2012 |
Nomura Australia Limited |
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 |
MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010 |
||
|
30 September 2011 |
Patersons Securities Ltd |
MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010 |
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The MDP Outcomes Register from 2014 at MDP Outcomes Register (2014 - present)