Search Results | Showing 1 - 10 of 38 results for "MDP" |
| | | ... reporting failures undermined the corporate regulator's market surveillance capabilities. The Markets Disciplinary Panel (MDP) found WealthHub breached its obligations between 28 July 2014 to 31 October 2024 by failing to provide complete and accurate ... |
| | | | Sydney-based stockbroking firm Petra Capital has been fined $205,350 by the Markets Disciplinary Panel (MDP) for misreporting information on 3632 orders. The MDP found that Petra had breached the market integrity rules by failing to provide accurate ... |
| | | | ASIC has appointed a new chair, deputy chair and three new members to its Market Disciplinary Panel (MDP), replacing five members who are set to retire. Victoria Weekes has been appointed chair of the MDP, taking over the reigns from Simon Gray after ... |
| | | | Societe Generale (SocGen) has been fined $3.88 million by the Market Disciplinary Panel (MDP), following an ASIC investigation, for failing to prevent suspicious orders from being placed on the electricity and wheat futures market. ASIC said SocGen ... |
| | | | ... fine for its failure to curb suspicious order transactions on electricity futures. ASIC's Markets Disciplinary Panel (MDP) found Macquarie breached market integrity rules on 50 occasions between January to September 2022, allowing three of its clients ... |
| | | | ... Macquarie Bank for its failure to curb suspicious order transactions on electricity futures. ASIC's Markets Disciplinary Panel (MDP) found Macquarie breached market integrity rules on 50 occasions between January to September 2022, allowing three of ... |
| | | | ... provide correct regulatory data to the relevant market operator. The infringement noticed, given by Markets Disciplinary Panel (MDP), considered that from 23 September 2022 to 3 February 2023, CLSA contravened Rule 7.4.2(1) and Rule 7.4.2(2) by incorrectly ... |
| | | | Ascot Securities was issued an infringement notice by the Markets Disciplinary Panel (MDP) in November last year for serious failures, resulting in a $3.1 million penalty and a requirement to enter an enforceable undertaking. However, Ascot chose not ... |
| | | | J.P. Morgan Securities Australia Limited (JPMSAL) has been hit with a $775,000 fine by the Markets Disciplinary Panel (MDP) following an investigation by the Australian Securities and Investments Commission (ASIC). The MDP found JPMSAL permitted suspicious ... |
| | | | ASIC's Markets Disciplinary Panel (MDP) has fined a Nomura subsidiary almost $700,000 for failing to comply with market integrity rules. Instinet Australia, the local arm of the global, Nomura-owned stockbroker, was issued the infringement notice after ... |
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