AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

    ASIC Issues Derivative Transaction Rules for Central Clearing of OTC Trade

    By Editors | 29/05/2015

    The Australian Securities and Investments Commission is seeking industry views on new derivative transaction rules to govern the mandatory central clearing of over-the-counter trade from April next year.

    Investment Banks Need Corporate Culture Shift, says ASIC

    By Editors | 28/05/2015

    ASIC has issued reports to the boards of several investment banks on potential deficiencies in their corporate culture.

    ASIC Calls for Tougher Penalties Against White-Collar Crimes

    By Editors | 12/05/2015

    Australia’s chief securities regulator wants to introduce tougher criminal penalties for financial crimes so market participants are forced into following the law.

    ASIC Repeals Certain Market Integrity Rules

    By Editors | 04/05/2015

    Australian Investments & Securities Commission has refined its market integrity rules by removing certain unnecessary compliance requirements on market participants.

    Dollar Spikes Reflect ‘Normal Market’, Says ASIC in Preliminary Report

    By Editors | 03/05/2015

    Spikes in the Australian dollar ahead of Reserve Bank interest rates decisions were the result of lower liquidity in the market before announcements are made, Australian Securities & Investments Commission said in a preliminary finding.

    ASIC Expands Investigation on UBS over NSW Privatization Report

    By Editors | 19/04/2015

    The Australian Securities and Investments Commission’s investigation on UBS, a key adviser on the privatisation of NSW Coalition, now involved interviews with top officials at the bank including its Australia chief executive Matthew Grounds.

    Australia’s ASIC Investigates Wealth Managers over Advice Fees

    By Editors | 16/04/2015

    The Australian Securities and Investments Commission (ASIC) is investigating some of the country’s biggest wealth managers for charging clients for financial advice even when no advice has been provided.

    ASIC Seeks Reforms in Dealing with Client Legal Privilege

    By Editors | 07/04/2015

    The Australian Securities & Investments Commission is seeking reforms that would prevent people from making unsubstantial claims of client legal privilege that could delay investigations into breaches of the corporation law.

    DTCC Urges Action Ahead of Next OTC Reporting Phase

    By Editors | 25/03/2015

    The Depository Trust & Clearing Corporation (DTCC) has urged institutions to stay ahead of reporting deadlines under the next phase of Australia’s derivatives market reporting rules, which will be implemented next month.

    ASIC Wants More Liquidity from Chinese IPO Candidates

    By Editors | 16/03/2015

    The wave of Chinese companies listing on the Australian stock exchange in the past three years, many with less than 2% free float, has raised concern on whether initial public offering (IPO) rules should require better liquidity from foreign businesses.

    JOIN OUR NEWSLETTER

    A daily selection of top stories from the Regulation Asia editorial team