Australian Securities and Investments Commission

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1.281 documents for Australian Securities and Investments Commission

- Directors' duties: A reality check - more than just an ornament!(Australia. Australian Securities and Investments Commission v. Centro Properties Group)
A reality check is exactly what the decision of Federal Court judge Justice Middleton will bring for the hundreds of directors in Australia who sit on...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Christopher P. Blaxland; Marcella Blaxland, Plaintiffs-Appellees, v. Commonwealth Director of Public Prosecutions; Australian Securities and Investments Commission, Defendants-Appellants, and Paul R. Shaw; Dennis T. Barry, Defendants. Christopher P. Blaxland; Marcella Blaxland, Plaintiffs-Appellants, v. Commonwealth Director of Public Prosecutions; Australian Securities and Investments Commission; Paul R. Shaw; Dennis T. Barry, Defendants-Appellees., 323 F.3d 1198 (9th Cir. 2003)
Christopher P. Blaxland, Manhattan Beach, CA, for the plaintiffs-appellees-cross-appellants. Douglas Hallward-Driemeier, United States Department of ...
- Federal Circuits
- Mf Global Collapse Exposes Australian Loophole On Client Money
SYDNEY, Australia (Thomson Reuters Accelus) - The failure ofhas highlighted loopholes in the Australian regulatory system which allowed the firm to use client money to hedge its own positions with full consent from the Australian Securities and Investments Commission (ASIC). The shortcomings under Australian regulations mean that regulators will be unable to take action if investors' funds have been pooled together and used for hedging purposes.
- Reuters Hedgeworld
- November 04, 2011

- NSW appellate decision explores scope of director and officer liability.
.... The case of Morley v Australian Securities and Investments Commission2 was heralde...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- U.S., Australia Ok Exemptions
WASHINGTON -- U.S. and Australian stock exchanges and brokers could be allowed to operate in each other's countries without being subject to most local regulation, under an agreement between regulators. Wall Street interests praised the announcement of the agreement made Monday by the U.S. Securities and Exchange Commission and the Australian Securities and Investments Commission. But a U.S. investor advocate called it a "radical" deregulatory move.
- Deseret News (Salt Lake City)
- August 26, 2008
- Australia Ends Short-Selling Ban On Financials
MELBOURNE, Australia (Reuters) - Australia's markets regulator has lifted an eight-month ban on short-selling of financial stocks put in place after the upheaval in global markets last year, signaling confidence in the return to stability of markets. The Australian Securities and Investments Commission (ASIC) lifted the ban effective from the opening of trading on Monday [May 25], a week earlier than expected, but warned it may reimpose it if necessary.
- Reuters Hedgeworld
- May 27, 2009
- Further checks and balances for financial planning: an overview of the Corporations Amendment (Future of Financial Advice) Bill 2011 (Cth).
..." and increased watchdog powers for the Australian Securities and Investments Commission (ASIC). The ...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Superannuation & Funds Management - What's News - 02 November 2011.
... an enforceable understanding with the Australian Securities & Investments Commission. The fallout f...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Superannuation & Funds Management - What's News - 15 November 2011.
... director of Strategic Alternative Investments (SAI) has pleaded guilty to six charges of dishone...SAI was the holder of an Australian financial services licence and provided product ad....gov.au and developed by the Australian Securities and Investments Commission (ASIC), the new online ...
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Research houses to be more tightly regulated under proposed ASIC reforms.
...On 16 November 2011 the Australian Securities and Investments Commission (ASIC) relea...
- Mondaq Business Briefing
- Nbr. 2011, January 2011