Markets Disciplinary Panel

Functions, policies and procedures

The Markets Disciplinary Panel (MDP) is a peer review panel from which sitting panels are drawn to make decisions about whether infringement notices should be issued or enforceable undertakings should be accepted for alleged breaches of the market integrity rules by market participants.

The policies that are applied, and the procedures that are followed, by the MDP in exercising its powers and performing its functions are set out in ASIC Regulatory Guide 216.

Membership

The membership of the MDP comprises persons with significant market or professional experience. The members of the MDP have, or have had, senior roles in broking firms and investment banks.

View the current list of MDP members

MDP Outcomes Register

This register contains details of the outcomes of decisions of the MDP in relation to alleged breaches of the market integrity rules.

The outcomes may include infringement notices and enforceable undertakings, details of which will be included in the register. They will usually be accompanied by a media release.

Where the MDP makes no adverse findings in relation to a matter, the register will include a summary of that finding, usually without disclosing the name of the market participant.

View the MDP Outcomes Register

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What's new

ASIC reports on cyber resilience assessments of financial markets firms

30 November 2017

ASIC has released a report on the cyber resilience of over 100 firms in Australia's financial markets sector.

Read the media release

ASIC accepts enforceable undertaking from Foster Stockbroking

24 November 2017

ASIC has accepted an enforceable undertaking from Foster Stockbroking over the stockbroker's capital markets and research businesses, following an ASIC investigation into conflicts of interest.

Read the media release

ASIC accepts enforceable undertakings from ANZ and NAB to address conduct relating to BBSW

20 November 2017

ANZ and NAB have entered into enforceable undertakings in relation to their bank bill trading business and their participation in the setting of the BBSW.

Read the media release

ASIC makes consolidated market integrity rules

17 November 2017

ASIC has consolidated 13 of the existing 14 rule books into four rule books to create a common set of rules for securities markets and a common set of rules for futures markets.

Read the media release

More media releases on markets

MECS portal

The market entity compliance system (MECS) provides market entities with tools and information to assist with compliance.

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Last updated: 15/07/2013 12:00