ASIC

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The Financial Report - Volume 3, No. 5 • March 2014 (Global)

Discussion and Analysis - Last week, the Financial Industry Regulatory Authority issued one of its most important rule proposals in some time. Regulatory Notice 14-09 solicits comments on a proposed new regulatory...more

ASX's mFund and the Best Interests Duty

With the Australian Securities Exchange (ASX) set to launch its mFund settlement service in the first half of 2014, investment platform providers and financial advisers need to spend some time coming to grips with the...more

The Financial Report - Volume 3, No. 4 • February 2014 (Global)

News from Asia and the Pacific - ASIC information sheet on whistleblowers. The Australian Securities & Investments Commission has released information about its approach to dealing with whistleblower reports. The...more

The Ins and Outs of Insider Trading (Part 2 of 2)

In our earlier client update on 4 February 2014 (click here to view) we: - outlined the nature and scope of the insider trading prohibition under the Corporations Act; and - highlighted the extent of ASIC's...more

The Ins And Outs Of Insider Trading

ASIC's recent announcement that a technology systems upgrade will enable it to watch and tag trades by individual investors is a timely reminder that companies and persons in possession of "inside information" need to be...more

ASIC Investigates Conduct of Property Developers for Extending Payment Terms

Sometimes a property developer will allow the purchaser to settle without receiving the full balance of the purchase price because the purchaser is unable to obtain adequate financing to complete a settlement. The shortfall...more

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