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ASIC Supervision of Markets and Participants (July - Dec 2011)

This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in relation to ASX, ASX 24 and other Australian market licensees for the period 1 July 2011 to 31 December 2011.

Originally Published:

Tuesday, February 7, 2012

Financial Services Authority Speech on Implementing the ‘Twin Peaks’ Model

Hector Sants, the Chief Executive of the Financial Services Authority has outlined his vision of the “new world” of regulation in a recent speech.

Originally Published:

Monday, February 6, 2012

Financial Services Authority Publishes 2011 Consumer Awareness Survey

The UK’s Financial Services Authority has published its 2011 Consumer Awareness survey, an annual report in operation since 2003.

Originally Published:

Friday, February 3, 2012

European Securities and Markets Authority Publishes Central Repository of Credit Rating Agency Performance Statistics

The European Securities and Markets Authority has published a central repository of credit rating statistics and the historical performance of credit rating agencies.

Originally Published:

Thursday, February 2, 2012

Financial Services Authority Supports MiFID II Proposals While Raising Concerns

The Financial Services Authority has supported a number of the initiatives contained in the European Commission’s MiFID II proposals, while highlighting a number of issues which the FSA considers to be problematic.

Originally Published:

Tuesday, January 31, 2012

European Securities and Markets Authority Outlines Future Regulatory Framework for Exchange-Traded Funds and Other UCITS Issues

The European Securities and Markets Authority has published a consultation paper setting out future guidelines on Undertakings for Collective Investment in Transferable Securities Exchange-Traded Funds and other Undertakings for Collective Investment in Transferable Securities related issues

Originally Published:

Monday, January 30, 2012

Australian Treasury Releases Proposed Directors’ Liability Reforms to Harmonise Laws on Liability for Corporate Fault

The proposed Personal Liability for Corporate Fault Reform Bill 2012 (“Bill”) represents the first tranche of the Commonwealth Government’s response to the Directors’ Liability reform project, which forms part of the Council of Australian Governments’ National Partnership Agreement to Deliver a Seam

Originally Published:

Friday, January 27, 2012

UK Treasury Publishes Financial Services Bill

The UK Government has published its Financial Services Bill, which overhauls the structure of financial regulation in the UK.

Originally Published:

Friday, January 27, 2012

Financial Services Authority Publishes Product Intervention Discussion Paper

The Financial Services Authority's Product Intervention Discussion Paper DP11/01 proposed that retail financial services regulation should move away from its primary focus on point-of-sale, to an approach that actively regulates all aspects of the product life cycle, including the design, devel

Originally Published:

Wednesday, January 25, 2012

IOSCO Publishes Follow-On Analysis to the Report on Trading of OTC Derivatives

The International Organisation of Securities Commissions has published a report on the different types of trading platforms currently available for the execution of OTC derivatives transactions in IOSCO member jurisdictions.

Originally Published:

Wednesday, January 25, 2012

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