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APRA Accepts Enforceable Undertaking From Former Trio Director

The Australian Prudential Regulation Authority today announced it has accepted an enforceable undertaking from former Trio Capital Limited (“Trio”) director David O’Bryen.

Originally Published:

Thursday, November 3, 2011

APRA Accepts Enforceable Undertaking from Former Trio Director

The Australian Prudential Regulation Authority today announced it has accepted an enforceable undertaking from former Trio Capital Limited director Keith Finkelde.

Originally Published:

Monday, September 19, 2011

SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions

As required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the SEC has voted to propose a rule intended to prohibit certain material conflicts of interest between those who package and sell asset-backed securities (“ABS”) and those who invest in them.

Originally Published:

Monday, September 19, 2011

APRA Accepts Enforceable Undertakings from Former Trio Directors

The Australian Prudential Regulation Authority today announced it has accepted enforceable undertakings from former Trio Capital Limited directors Rex Phillpott and David Andrews.

Originally Published:

Thursday, September 8, 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

Government Accountability Office Reports on Securities Fraud Liability of Secondary Actors

This report responds to the mandate in section 929Z of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 directing Government Accountability Office to study the impact of authorizing a private legal right of action against any person who aids or abets another in violation of the sec

Originally Published:

Thursday, July 21, 2011

APRA Accepts Enforceable Undertaking From Former Trio Director

The Australian Prudential Regulation Authority announced that it has accepted an enforceable undertaking from former Trio Capital Limited director Natasha Beck.

Originally Published:

Monday, July 4, 2011

Economic Crime and the Global Financial Crisis

Fisher, Jonathan; Cregan, Claire; Di Giulio, James and Schutze, Jodi. Economic Crime and the Global Financial Crisis. Law and Financial Markets Review, Vol. 5, No. 4, Jul 2011: 276-289. Availability: <http://search.informit.com.au/documentSummary;dn=358493662431654;res=IELBUS>

Originally Published:

Friday, July 1, 2011

SEC Issues Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934

Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 established a whistleblower program that requires the Securities and Exchange Commission to pay an award to eligible whistleblowers who voluntarily provide the SEC with original information about a violation of the fed

Originally Published:

Wednesday, May 25, 2011

SFC-HKMA Jointly Introduce Mystery Shopping Programme to Monitor Selling Practices

The Securities and Futures Commission and the Hong Kong Monetary Authority jointly engaged an external service provider, the Hong Kong Productivity Council, to carry out mystery shopping exercises between July and November 2010 to look into the selling practices of intermediaries involving unlisted

Originally Published:

Monday, May 2, 2011

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