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ASIC’s Compulsory Information Gathering Powers

The Australian Securities and Investments Commission has released an information sheet describing the breadth of its compulsory information-gathering powers in two broad areas of regulatory activity, surveillances and investigations into suspected breaches of the law.
Originally Published: 
Friday, September 2, 2011

ASIC Targets Unlicensed Credit Providers

The Australian Securities and Investments Commission's latest surveillance campaign is aimed at identifying traders who applied for a credit licence, but withdrew their application, or had it refused.
Originally Published: 
Thursday, September 1, 2011

SEC Adopts Large Trader Reporting Regime

The Securities and Exchange Commission will adopt a new rule establishing large trader reporting requirements to enhance the agency’s ability to identify large market participants, collect information on their trading, and analyze their trading activity.
Originally Published: 
Tuesday, July 26, 2011

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