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ASIC keeps the training wheels on Macquarie

Originally Published:

Thursday, February 19, 2015

Dr George Gilligan argues that ASIC has ensured that regulatory compliance training wheels are still firmly on Macquarie Equities Limited, a subsidiary of Macquarie Bank.

Insider trading enforcement in Australia

Insider trading enforcement in Australia Authors: Lei, Victor; Ramsay, Ian Source: Law and Financial Markets Review, Volume 8, Number 3, September 2014, pp. 214-226(13) http://dx.doi.org/10.5235/17521440.8.3.214

Originally Published:

Tuesday, September 30, 2014

Cartel Immunity/Leniency: The Truth, The Whole Truth …

Originally Published:

Monday, October 14, 2013

Can financial regulators learn lessons from cartel enforcement by competition regulators?

Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

The FCA has fined Aberdeen for failing to identify and protect client money placed in money market deposits with third party banks.

Originally Published:

Tuesday, September 3, 2013

CLMR Working Paper 12-2: So foul and fair a day: the prosecution of Standard Chartered, state-federal relations and the return of Banquo’s ghost

The State Government of New York has re-emerged as a pivotal broker of financial regulation.

Originally Published:

Saturday, September 1, 2012

SEC Settlement Agreements & the Amorphous Bounds of Public Interest

Originally Published:

Wednesday, April 4, 2012

The 2nd Circuit Court of Appeals in New York blocks a judicial attempt to force the SEC to explain how the public interest was protected by entering into a ‘no admission’ settlement agreement.

CPSS-IOSCO Publishes Final Report on Requirements for OTC Derivatives Data Reporting and Aggregation

The International Organisation of Securities Commissions and the Committee on Payment and Settlement Systems have published a final report on over-the-counter derivatives data that should be collected, stored and disseminated by trade repositories.

Originally Published:

Tuesday, January 17, 2012

European Securities and Markets Authority Annual Report on the Application of the Credit Rating Agencies Regulation

From 1 July 2011, the European Securities and Markets Authority was given exclusive responsibility for the registration and supervision of credit rating agencies in the EU. ESMA has published its first Annual Report on the Application of the Credit Rating Agencies Regulation.

Originally Published:

Thursday, January 12, 2012

Financial Services Authority Consults on Raising Consumer Awareness on Depositor Protection

The Financial Services Authority has released a consultation paper to address concerns regarding low consumer awareness with regard to depositor protection.

Originally Published:

Wednesday, December 14, 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

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