In Who or What Do We Trust? (Panel Discussion)
An Australian Research Council funded Roundtable for the CLMR seminar - Who Or What Do We Trust? Towards a New Theory of Corporate Governance.
Originally Published:
Thursday, September 15, 2011
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IOSCO Commodity Derivatives Markets Supervisory Principles
The International Organisation of Securities Commisisons Commodity Derivatives Markets Supervisory Principles, which update and add to the 1997 Tokyo Communiqué, were developed in response to contemporary trends in commodity derivatives markets.
Originally Published:
Thursday, September 15, 2011
Independent Commission on Banking Publishes Recommendations for Reforming the UK Banking System
This report considers structural and related nonstructural reforms to the UK banking sector to promote financial stability and competition and makes recommendations to the government.
Originally Published:
Monday, September 12, 2011
SEC Report Regarding the Status of its Implementation of Organizational Reform Recommendations
The Report, mandated by Section 967 of the Dodd-Frank Act, was prepared to address the recommendations made in March 2011 by the Boston Consulting Group who submitted a Report to Congress examining the internal operations, structure and need for reform at the Securities and Exchange Commission.
Originally Published:
Friday, September 9, 2011
SEC Proxy Access Rule Vacated
On July 22, 2011, in Business Roundtable & Chamber of Commerce of the United States of America v. Securities & Exchange Commission, No. 10-1305 (D.C. Cir. July 22, 2011), a three-judge panel of the U.S.
Originally Published:
Tuesday, September 6, 2011
Inspectors General Report to Congress on Independence, Effectiveness and Expertise
Section 1505 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 required Government Accountability Office to report on the relative independence, effectiveness, and expertise of the inspectors general.
Originally Published:
Thursday, September 1, 2011
SEC Seeks Public Comment on Asset-Backed Issuers and Mortgage-Related Pools Under Investment Company Act
The Securities and Exchange Commission is requesting public comment on the treatment of asset-backed issuers as well as real estate investment trusts and other mortgage-related pools under the Investment Company Act.
Originally Published:
Wednesday, August 31, 2011
SEC Seeks Public Comment on Use of Derivatives by Mutual Funds and Other Investment Companies
The Securities and Exchange Commission is seeking public comment on a wide range of issues raised by the use of derivatives by mutual funds and other investment companies regulated under the Investment Company Act.
Originally Published:
Wednesday, August 31, 2011
ASIC Releases Proposed Good Practice Guidance on Advertising Financial Products and Advice Services
The Australian Securities and Investments Commission has issued a consultation paper to “assist promoters and publishers present advertisements that are accurate and balanced and that help investors and financial consumers make decisions that are appropriate for them”.
Originally Published:
Tuesday, August 30, 2011
Corporate Counsel Recognise Competition Risks As Key: Mallesons Compass Survey 2011
In June 2011 Mallesons conducted an online survey of corporate counsel across a wide variety of industries. The survey asked corporate counsel about the issues and challenges they are facing in the current regulatory environment.
Originally Published:
Friday, August 26, 2011