MDP Outcomes Register (2014 - present)

About this register

View the MDP Outcomes Register for 2011 to 2013 at MDP Outcomes Register (2011 - 2013)

2018

Date

Market participant

Media release

MDP outcome

Market integrity rule

 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

5.7.1: False or misleading appearance

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

28/09/2017

OpenMarkets Australia Ltd

 17-327MR

MDP09/17

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

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

View the MDP Outcomes Register for 2011 to 2013 at MDP Outcomes Register (2011 - 2013)

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What's new

ASIC cancels AFS licence of retail OTC derivative issuer Direct FX Trading Pty Ltd* for serious compliance failures

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8 October 2018

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Last updated: 07/05/2014 12:00