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Nomura Australia Limited Pays $30,000 infringement Notice Penalty
Nomura Australia Ltd has paid a penalty of $30,000 to ASIC in order to comply with an infringement notice given to it by the Markets Disciplinary Panel, for the entry of two orders to sell the security, Alumina Limited on 18 March 2011, that allegedly resulted in the market for AWC not being both fa
Originally Published:
Friday, March 30, 2012
ASIC Releases First Enforcement Report (July-Dec 2011)
ASIC today released its first report detailing ASIC enforcement actions for the period 1 July to 31 December 2011.
Originally Published:
Thursday, March 29, 2012
King & Wood Mallesons Reports on Recent Developments Affecting Directors in the Regulatory Enforcement Pyramid
Greg Golding and Laura Steinke of King & Wood Mallesons consider the position of the Australian director in 2012 against the framework of the directors’ place in the regulatory enforcement environment.
Originally Published:
Tuesday, March 20, 2012
ASIC Accepts Enforceable Undertaking From Leighton Holdings
Leighton Holdings Limited has paid a total of $300,000 after The Australian Securities and Investments Commission (“ASIC”) served three infringement notices alleging the company had not complied with the continuous disclosure provisions of the Corporations Act 2001 and relevant provisions of the Aus
Originally Published:
Sunday, March 18, 2012
Financial Services Authority Publishes Censure against Bank of Scotland plc in Respect of Failings within its Corporate Division between January 2006 and December 2008
The FSA has confirmed publicly that it has been carrying out an enforcement investigation into HBOS in respect of specific issues relevant to its failure during the wider financial crisis.
Originally Published:
Friday, March 9, 2012
ASIC Accepts Enforceable Undertaking from Commonwealth Bank
ASIC announced it has accepted a court enforceable undertaking (EU) from Commonwealth Bank of Australia (“CBA”) following concerns that a message sent to its internet banking customers was misleading.
Originally Published:
Tuesday, March 6, 2012
King & Wood Mallesons Launches Class Actions – The Year in Review 2011
In recognition of the growing prevalence and scope of class actions, King & Wood Mallesons has launched Class Actions - The Year In Review 2011
Originally Published:
Friday, March 2, 2012