Securities

NARROWER TERMS
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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?
Discussion paper

Retail investor trading during COVID-19 volatility

This paper outlines some early observations by ASIC staff on trading in securities and contracts for difference (CFDs) during the volatility caused by the COVID-19 pandemic (COVID-19 volatility). It was produced to inform our work in managing the impact of the COVID-19 pandemic and is...
Working paper

Securities lending, empty voting and corporate governance

This paper examines the corporate governance implications of securities loans, in particular the impact of securities loans on shareholders’ voting rights and the control of listed Australian companies. The paper considers whether the current regulatory framework for securities loans in Australia adequately addresses the concerns...
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...
Report

Fit for the future: a capability review of the Australian Securities and Investments Commission

The Australian Government commissioned an independent review to consider the capabilities of the Australian Securities and Investments Commission (ASIC). The review is a forward-looking, whole-of-agency exercise that assesses ASIC’s ability to meet its current and future objectives and challenges. It is not a performance review...
Report

Performance of the Australian Securities and Investments Commission

This report underlines the critical importance of ensuring that Australia has a robust corporate regulatory system under the stewardship of a strong and effective regulator.