MDP Outcomes Register (2014 - present)
View the MDP Outcomes Register for 2011 to 2013 at MDP Outcomes Register (2011 - 2013)
2023
|
Date |
Market participant |
Media release |
MDP outcome |
Market integrity rule |
|---|---|---|---|---|
|
20/09/2023 |
Securities Markets 5.5.2 – Organisational and technical resources 5.7.1 (b)(iii) – Placing suspicious Orders |
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06/07/2023 |
Openmarkets Australia Limited |
Securities Markets 2.1.3 – Supervisory procedures 5.5.2 – Organisational and technical resources 5.6.1 and 5.6.3 (1)(a) – Automated Order Processing 5.11.1 – Notification of suspicious activity 5.7.1(b)(iii) – Placing suspicious Orders 2.1.5 – Unprofessional conduct 3.5.9 and 3.5.10(d) – Reconciliation of trust accounts |
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Morrison Securities Pty Ltd |
Securities Markets 5.9.1 – Market must remain fair and orderly |
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|
03/05/2023 |
Ord Minnett Limited Ltd |
Securities Markets |
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03/02/2023 |
Wilsons Advisory and Stockbroking Pty Limited |
Securities Markets |
2022
|
Date |
Market participant |
Media release |
MDP outcome |
Market integrity rule |
|---|---|---|---|---|
|
ABN AMRO Clearing Sydney Pty Ltd |
Futures Markets
|
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|
18/01/2022 |
BGC Partners (Australia) Pty Ltd |
Futures Markets 3.3.1A: Entry of orders |
2021
|
Date |
Market participant |
Media release |
MDP outcome |
Market integrity rule |
|---|---|---|---|---|
|
22/06/2021 |
Life Trading Pty Ltd |
Futures Markets 2.2.8: Supervisory procedures – Supervision and risk management |
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18/05/2021 |
Macquarie Securities (Australia) Limited |
Securities Markets 3.3.1(b): Client instructions – Market Participant restrictions Securities Markets 5.9.1: Fair and Orderly Markets – Market must remain fair and orderly (no breach) |
2020
|
Date |
Market participant |
Media release |
MDP outcome |
Market integrity rule |
|---|---|---|---|---|
|
03/07/2020 |
Credit Suisse Equities (Australia) Limited |
ASX Market 3.3.1(b): Client instructions – Market Participant restrictions Securities Markets 3.3.1(b): Client instructions – Market Participant restrictions |
2019
|
Date |
Market participant |
Media release |
MDP outcome |
Market integrity rule |
|---|---|---|---|---|
|
08/08/2019 |
Finclear Execution Limited |
Chi-X Market 3.3.1(b): Market Participant restrictions ASX Market 5.9.1: Market must remain fair and orderly Competition in Exchange Markets 3.1.1 (1): Best execution obligation—Best outcome |
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|
03/06/2019 |
Macquarie Securities (Australia) Limited |
Competition in Exchange Markets 5A.2.1: Participant to provide Regulatory Data with Orders and Trade Reports Securities Markets 7.4.2: Participant to provide Regulatory Data with Orders and Trade Reports |
2018
|
Date |
Market participant |
Media release |
MDP outcome |
Market integrity rule |
|---|---|---|---|---|
|
20/11/2018 |
UBS Securities Australia Ltd | 18-349MR | MDP02/18 |
ASX Market 3.3.1(b): |
|
12/06/2018 |
Wilsons Advisory and Stockbroking Ltd | 18-170MR | MDP01/18 |
Competition in Exchange Markets 5A.2.1: Participant to provide Regulatory Data with Orders and Trade Reports |
2017
|
Date |
Market participant |
Media release |
MDP outcome |
Market integrity rule |
|---|---|---|---|---|
|
22/12/2017 |
Epoch Capital Pty Ltd | 17-461MR | MDP13/17 |
ASX 24 Market 3.1.2: False or misleading appearance |
|
14/12/2017 |
Interactive Brokers LLC | 17-432MR | MDP12/17 |
Chi-X Market 5.5.2: Organisational and technical resources |
|
4/12/2017 |
Merrill Lynch Equities (Australia) Limited | 17-416MR | MDP11/17 | Competition in Exchange Markets
3.1.1: Best execution obligation - Best outcome 4A.4.4: Opting out of Crossing Systems Chi-X Market 3.3.1: Market Participant restrictions 5.5.2: Organisational and technical resources (no breach) |
|
16/11/2017 |
Bell Potter Securities Limited |
17-387MR | MDP10/17 |
ASX Market 5.7.1: False or misleading appearance 5.11.1: Notification requirement |
|
OpenMarkets Australia Ltd |
ASX Market 5.5.2: Organisational and technical resources 5.6.1: Responsible use of system for Automated Order Processing Chi-X Market 5.6.1: Responsible use of system for Automated Order Processing |
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|
12/09/2017 |
Merrill Lynch (Australia) Futures Limited |
ASX 24 Market Rule 2.2.1(1)(a), (b): Rule 2.2.1(1)(c): Rule 2.2.8: |
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| 3/8/2017 | Not disclosed | N/A | Anonymised Circular 01/17 | ASX Market
5.9.1: |
| 23/6/2017 | Macquarie Securities (Australia) Limited | 17-198MR | MDP 805-16 | 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: Competition in Exchange Market
Competition in Exchange Market 4A.4.2: 4A.5.1: |
| 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 |
ASX Market |
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23/2/2017 |
BGC Partners (Australia) Pty Limited |
ASX 24 Market |
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|
20/2/2017 |
Share Investing Limited |
ASX Market 5.7.1: False and misleading appearance |
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|
16/1/2017 |
Pershing Securities Australia Pty Ltd |
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 |
MIR 2.1.3, 3.3.1(b), 3.3.1(c) - ASIC Market Integrity Rules (ASX Market) 2010 |
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|
7 September 2016 |
Morgan Stanley Australia Securities Limited |
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 |
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|
2 September 2016 |
Commonwealth Securities Limited |
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 |
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28 June 2016 |
Macquarie Securities (Australia) Limited |
MIR 5.6.1 and MIR 5.9.1 - ASIC Market Integrity Rules (Chi-X Australia Market) 2011 |
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20 May 2016 |
Credit Suisse Equities (Australia) Limited |
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|
28 April 2016 |
ABN AMRO Clearing Sydney Pty Ltd |
MIR 3.3.1A - ASIC market integrity rules (ASX 24 Market) 2010 | ||
|
13 April 2016 |
Deutsche Bank AG |
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 |
MIR 2.5.3 - ASIC market integrity rules (ASX Market) 2010 | ||
|
10 December 2015 |
D2MX Pty Ltd |
MIR 5.6.3(a) and MIR 5.9.1 - ASIC market integrity rules (ASX Market) 2010 | ||
|
9 December 2015 |
Etrade Australia Securities Limited |
MIR 5.9.1 - ASIC market integrity rules (ASX Market) 2010 | ||
|
9 December 2015 |
Australian Investment Exchange Limited |
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 |
MIR 5.7.1(b)(i) - ASIC Market Integrity Rules (ASX Market) 2010 | ||
|
14 May 2015 |
ICAP Futures (Australia) Pty Ltd |
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 |
2014
View the MDP Outcomes Register for 2011 to 2013 at MDP Outcomes Register (2011 - 2013)