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ASIC in hot water
In the wake of the expenses scandal which has rocked the top echelons of the corporate watchdog, fresh questions are being asked about ASIC's efficacy, but could this be a chance to build a better regulator?
Report
Phoenix activity: recommendations on detection, disruption and enforcement
The aim of this report is to minimise the significant damage that is being done to the Australian economy by harmful phoenix activity without unduly inhibiting legitimate business rescues and beneficial entrepreneurialism.
Report
Review of the financial system external dispute resolution and complaints framework: interim report
The Review Panel’s Terms of Reference require it to examine whether changes to the current external dispute resolution (EDR) framework in the financial sector are needed to deliver effective outcomes for users in a rapidly changing and dynamic financial system. As the impact of financial...
Working paper
Sanctions imposed for insider trading in Australia, Canada (Ontario), HK, Singapore, NZ, the UK and the US: An empirical study
This working paper presents the results of a detailed comparative empirical study of sanctions imposed for insider trading in Australia, Canada (Ontario), Hong Kong, Singapore, New Zealand, the United Kingdom, and the United States. Insider trading is considered to be a serious form of misconduct...
Working paper
An empirical analysis of the use of enforceable undertakings by the Australian Securities and Investments Commission (ASIC) between 1 July 1998 and 31 December 2015
This working paper reports the findings of a detailed empirical study of 414 enforceable undertakings accepted by the Australian Securities and Investments Commission (ASIC), the corporate, market, finance and credit services regulator from July 1998 to 31 December 2015, a period of 17.5 years. The...