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Showing 1 - 10 of 36 results for "Markets Disciplinary Panel"

Ascot Securities hit with infringement notice for 'serious failures'

ANDREW MCKEAN  |  THURSDAY, 20 JUN 2024
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 hit with $775k penalty

ELIZA BAVIN  |  THURSDAY, 9 MAY 2024
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 ...

Nomura offshoot fined by ASIC disciplinary panel

JAMIE WILLIAMSON  |  THURSDAY, 7 DEC 2023
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 ...

VFMC selects new chair

JAMIE WILLIAMSON  |  WEDNESDAY, 6 DEC 2023
... of trustees. Previous roles include deputy chair of the Indigenous Land Corporation, chair of ASIC's Markets Disciplinary Panel, and chair of Voyages Indigenous Tourism Australia. In her executive career, Gay held several senior roles within financial ...

Morrison Securities pays infringement over DTRs

CHLOE WALKER  |  THURSDAY, 22 JUN 2023
... 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 ...

Wilsons Advisory fined $550k by ASIC MDP

JAMIE WILLIAMSON  |  FRIDAY, 3 FEB 2023
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 ...

ABN AMRO Clearing pays $222k penalty

ANDREW MCKEAN  |  THURSDAY, 8 SEP 2022
... AMRO 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 ...

Trading platform cops $110k fine

KARREN VERGARA  |  TUESDAY, 18 JAN 2022
... BGC Partners breached the ASX 24's trading rules on two occasions on 22 March 2019, according to the Markets Disciplinary Panel, by transacting pre-negotiated business orders without making the required enquiry through the market's message facility. ...

New members on Markets Disciplinary Panel

JAMIE WILLIAMSON  |  THURSDAY, 2 DEC 2021
ASIC has made a series of appointments to its Markets Disciplinary Panel, adding executives from Barrenjoey and Macquarie Group. With seven members retiring, ASIC has welcomed three new appointees to the peer-review panel which determines whether infringement ...

ASIC fines trading firm

ANNABELLE DICKSON  |  WEDNESDAY, 23 JUN 2021
... undertaking after it was found to have inappropriate supervisory policies and procedures in place. The Markets Disciplinary Panel (MFP) gave Life Trading an infringement notice as it believed the trading firm contravened Rule 2.2.8 of the ASIC Market ...
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