Search Results | Showing 11 - 20 of 38 results for "MDP" |
| | | ... triggered 44 'marking the close' alerts on Interactive Brokers' own systems during the period. ASIC's Market Disciplinary Panel (MDP) determined that Interactive Brokers was negligent in failing to identify the suspicious trades, and reckless in allowing ... |
| | | | Openmarkets Australia has paid a $4.5 million penalty, the largest sanction ever imposed by an ASIC Market Disciplinary Panel, after contravening market integrity rules. An ASIC investigation was triggered by a series of transgressions, most notably ... |
| | | | ... Securities (Morrison) has paid a penalty of $333,000 to comply with an infringement notice given by the Markets Disciplinary Panel (MDP). According to the MDP, Morrison contravened the ASIC Market Integrity Rules on six occasions between October and ... |
| | | | ... under the buy-back on this day and represented 52.4% of the total shares to be purchased under the buy-back," ASIC said. The MDP considered the crossings were pre-arranged, not done with indifference as to the identity of the buyer and seller, and did ... |
| | | | Wilsons Advisory and Stockbroking paid the significant penalty which was issued by the Markets Disciplinary Panel (MDP) after it found the firm to have incorrectly reported many trades as Trade with Price Improvement (TWPI). The $548,328 penalty was ... |
| | | | ... Clearing Sydney has paid a penalty of $222,000 to comply with an infringement notice given by the Markets Disciplinary Panel (MDP). The MDP found that in 2021, on three occasions, ABN AMRO registered block trades on the ASX24 Market in the SPI 200 Futures ... |
| | | | ... addition to Boreham, Richard Brasher, Russell McKimm, John Manchee, Mark Pugsley, Pete Robson and Lisa Shand are retiring. "The MDP has firmly established itself as an important regulatory tool in maintaining market integrity. These new appointments ... |
| | | | ... (Futures Markets) 2017, whereby a market participant ensures compliance with market integrity rules and the Corporations Act. The MDP found that Life Trading did not have appropriate supervisory policies and procedures from the time it became a market ... |
| | | | ... breaching market integrity rules, making this its fifth infringement in the last six years. The Markets Disciplinary Panel (MDP) found that MSA failed to follow a client's instruction with respect to an on-market buyback on the "dark market". In ... |
| | | | ... Execution has paid a penalty of $70,000 for failing to comply with on-market buy-back rules. The Markets Disciplinary Panel (MDP) found Finclear contravened market integrity rules in relation to a pre-arranged crossing in April 2018 for an on-market ... |
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