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APRA Releases Consolidated Prudential Standards

The Australian Prudential Regulation Authority has released in final form four prudential standards - on governance, fitness and propriety, outsourcing and business continuity management - that will consolidate and replace 12 existing standards across the authorised deposit-taking (“ADI”), general i
Originally Published: 
Monday, September 12, 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

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

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