European Commission Issues Communication on Action for Stability, Growth and Jobs
The Commission has issued a communication titled 'Action for Stability, Growth and Jobs'.
Originally Published:
Wednesday, May 30, 2012
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Financial Services Authority Introduces Rules Telling Banks to Display Depositor Compensation Arrangements
The Financial Services Authority (FSA) will require all banks, building societies and credit unions to prominently display posters and stickers in branches and on websites explaining which deposit guarantee scheme applies to their customers’ deposits.
Originally Published:
Monday, May 28, 2012
Commonwealth Securities Limited Pays $35,000 Infringement Notice Penalty
Commonwealth Securities Ltd has paid a penalty of $35,000 to ASIC in order to comply with an infringement notice given to it by the Markets Disciplinary Panel.
Originally Published:
Monday, May 28, 2012
The Oxford Project: The Organisers Respond
Originally Published:
Sunday, May 27, 2012
Our over-arching objective in the ‘Oxford Project’ is to find a method whereby those who are in positions of authority in the financial services industry take proper responsibility for their actions,
IOSCO Consults on Certain Internal Controls and Procedures of the Credit Rating Agencies
This Consultation Report describes certain internal controls and procedures that credit rating agencies (CRAs) use to promote the integrity of the credit rating process and address conflicts of interest, with a view to promoting a better understanding of these practices.
Originally Published:
Friday, May 25, 2012
The Oxford Project: A Regulator Responds II
Originally Published:
Thursday, May 24, 2012
An "ethical infrastructure" is an essential precondition for building trust and integrity.
ASIC’s Forward Plan for Insolvency Industry
ASIC has issued its first annual report into its supervision of registered liquidators using it to highlight its areas of focus.
Originally Published:
Tuesday, May 22, 2012
IOSCO Issues Final Communiqué on the 37th Annual Conference
During its 37th Annual Conference in Beijing, IOSCO further progressed its contribution to the international regulatory reform agenda.
Originally Published:
Tuesday, May 22, 2012
The Oxford Project: A Regulator Responds I
Originally Published:
Tuesday, May 22, 2012
Operationalising professional integrity necessitates a careful contextualised analysis and for the legal community this necessitates exploring the implications of commercialisation.
The Oxford Project: Arresting the Downward Spiral by Harnessing the Restraining Power of Whistle-Blowing I
Originally Published:
Tuesday, May 22, 2012
Contemporary financial markets are based on sociologies of trust, understanding how they operate necessitates gaining the intelligence provided by those insiders that can blow the whistle.