Search Results | Showing 1 - 10 of 30 results for "MDP" |
| | | 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 ... |
| | | | ... 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 ... |
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