MDP Outcomes Register (2011 - 2013)

About this register

2014 - present

View the MDP Outcomes Register from 2014 onwards at MDP Outcomes Register (2014 - present)

2013

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

17 December 2013

Macquarie Bank Limited

2013-09

MDP09/13

MIR 2.2.6(a) of the ASIC Market Integrity Rules (ASX 24 Market) 2010

30 October 2013

ABN AMRO Clearing Sydney Pty Ltd

2013-08

MDP08/13

MIR 5.6.1, 5.6.3 and 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

22 October 2013

UBS Securities Australia Ltd

2013-07

MDP07/13

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

8 August 2013

Instinet Australia Pty Limited

2013-06

MDP06/13

MIR 5.6.1(a) of the ASIC Market Integrity Rules (ASX Market) 2010

19 July 2013

Euroz Securities Limited

2013-05

MDP05/13

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

18 July 2013

UBS Securities Australia Limited

2013-04

MDP04/13

MIR 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

12 July 2013

Credit Suisse Equities (Australia) Limited

2013-03

MDP03/13

MIR 5.6.3 and 5.9.1 of the ASIC Market Integrity Rules (ASX Market) 2010

31 May 2013

Merrill Lynch Equities (Australia) Limited

2013-02

MDP02/13

MIR 5.6.3(a) of the ASIC Market Integrity Rules (ASX Market) 2010

22 January 2013

Susquehanna Pacific Pty Ltd

2013-01

MDP01/13

MIR 5.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

 

2012

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

11 December 2012

Euroz Securities Limited

2012-09

MDP09/12

MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

4 December 2012

BGC Partners (Australia) Pty Limited

2012-08

MDP08/12

MIR 3.1.8 and MIR 3.1.11 of ASIC Market Integrity Rules (ASX 24 Market) 2010

19 November 2012

J.P. Morgan Securities Australia Limited

2012-07

MDP07/12

MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

15 October 2012

Barclays Bank PLC

2012-06

MDP06/12

MIR 2.2.6(d) of ASIC Market Integrity Rules (ASX 24 Market) 2010

27 September 2012

Credit Suisse Equities (Australia) Limited

2012-05

MDP05/12

MIR 5.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

24 September 2012

Commonwealth Securities Ltd

2012-04

MDP04/12

MIR 5.5.2 of ASIC Market Integrity Rules (ASX Market) 2010

27 August 2012

Citigroup Global Markets Australia Pty Ltd

2012-03

MDP03/12

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

28 May 2012

Commonwealth Securities Ltd

2012-02

MDP02/12

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

30 March 2012

Nomura Australia Limited

2012-01

MDP01/12

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

         

 

2011

Date

Recipient

MDP circular

Infringement notice

Market integrity rule

12 December 2011

Austock Securities Limited

2011-02

MDP02/11

MIR 5.9.1 of ASIC Market Integrity Rules (ASX Market) 2010

30 September 2011

Patersons Securities Ltd

2011-01

MDP01/11

MIR 6.6.1 of ASIC Market Integrity Rules (ASX Market) 2010

         

The MDP Outcomes Register from 2014 at MDP Outcomes Register (2014 - present)

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Last updated: 27/04/2018 11:30