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Topic: Australian Securities and Investments Commission

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Australian Securities & Investments Commission: HomePage ASIC accepts enforceable undertaking over unsolicited offers to purchase securities Father and son to be extradited to NSW to face charges Enforcing and regulating company and financial services laws www.asic.gov.au

Australian Securities and Investments Commission You are here: Home > Advice Centre > Australian Securities and Investments Commission www.netalert.net.au /01636-Australian-Securities-and-Investments-Commission.asp

Australian government links The Australian Securities and Investments Commission enforces company and financial services laws to protect consumers, investors and creditors. Fido section of the Australian Securities and Investments Commission (ASIC) website Information from the Australian Customs Service site about rules of origin for products. www.accc.gov.au /content/index.phtml/itemId/55529

Australian Governments "The Australian Securities and Investments Commission (ASIC) is an independent government body that enforces and administers Corporations Law and consumer protection law for investments, life and general insurance, superannuation and banking (except lending) throughout Australia. "The Australian Communications Authority (ACA) is responsible for regulating telecommunications and radiocommunications, including promoting industry self-regulation and managing the radiofrequency spectrum. "The Australian Bureau of Statistics is Australia's official statistical organisation. members.optusnet.com.au /~vgudiksen/aus_gvt1.htm

page2.html Australian Securities and Investments Commission releases fee disclosure model based on Professor Ian Ramsay's report on disclosure of fees and charges in superannuation and other managed investments [top] "Financial planners angle to haul in the rock-bottom feeders", The Australian, 11 October 2003, page 39 "Australian Government asks top professor to review audit regulation", The Accountant, July 2001, page 1 cclsr.law.unimelb.edu.au /media/page2.html

Statistics Insolvencies, terminations and new registrations of Australian companies - Australian Securities and Investments Commission (ASIC). Australian Bureau of Agriculture and Resource Economics (ABARE) - ABARE is a primary source for data on the minerals and mining industry. Western Australian electoral statistics - Western Australian Electoral Commission. www.aph.gov.au /library/intguide/stats

annual-report-1999.htm In 1999 the Centre for Corporate Law was again pleased to be able to assist the Australian Securities and Investments Commission with its Summer School. Members of the Centre continued in 1999 to occupy editorial positions with major corporate law publications including the Company and Securities Law Journal, the Australian Business Law Review, the Company, Financial and Insolvency Law Review and the International Corporate Law Bulletin. The Centre has an Australian Advisory Board chaired by the Honourable Mr Justice Hayne and comprising leading members of the Australian legal and business communities. cclsr.law.unimelb.edu.au /annual-report/annual-report-1999.htm

annual-report-1999.htm The 1998 Australian Securities Commission Summer School was held at The University of Melbourne. Members of the Centre continued in 1999 to occupy editorial positions with major corporate law publications including the Company and Securities Law Journal, the Australian Business Law Review, the Company, Financial and Insolvency Law Review and the International Corporate Law Bulletin. For example, the monograph by Pamela Hanrahan titled Managed Investments Law (1998) was reviewed in the University of Tasmania Law Review where the reviewer stated that "as an account and commentary on a particular area of financial regulation, the monograph is an invaluable resource for both legal practitioners and funds management professionals". cclsr.law.unimelb.edu.au /annual-report/annual-report-1999.htm

Securities and Exchange Surveillance Commission Chairman of Australian Securities and Investments Commission visited SESC Copyright © 2004 Securities and Exchange Surveillance Commission, All rights reserved. Chairman of Russian Federal Securities Market Commission visited SESC www.fsa.go.jp /sesc/english

Update 2: Australian Senate Inquiry Opens on Telstra - Forbes.com The Australian Securities and Investments Commission also said this week it is investigating Telstra's compliance with stock market disclosure obligations in the wake of the profit warning. Australian government attempts to boost competition in the telecommunications industry as part of its push to privatize former state-run monopoly Telstra Corp. will have the opposite effect, the company said Friday. Joyce's vote is considered key for the Telstra sale bills to win passage through the Senate upper house, where Howard's government has a single-seat majority. www.forbes.com /business/feeds/ap/2005/09/09/ap2215174.html   (784 words)

GOLDSHEET Mining Directory - Australian Resources Australian Securities and Investments Commission - One of three Commonwealth government bodies that regulate financial services. Australian Resources Chatroom - The mining and oil companies chat site (with links). Australian Stock Exchange - General Information, and the ability to get shares quotes. www.goldsheetlinks.com /aus.htm   (784 words)

Research Grants - CCLSR It involves an empirical study of prosecution and enforcement actions taken by the Australian Securities and Investments Commission before and since decriminalisation took effect in 1993. One reason for the lack of Australian research is the lack of information about institutional shareholdings in Australian companies. In 1995 almost $5 billion in capital was raised by companies listed on the Australian Stock Exchange using prospectuses to raise capital. cclsr.law.unimelb.edu.au /activities/research-grants.html   (784 words)

Lateline - 31/10/2003: ASIC launches Rivkin probe . Australian Broadcasting Corp KAREN PERCY: Six years ago, the Australian Securities and Investments Commission set aside its file on Offset Alpine. The newspaper's investigation alleges that Rene Rivkin was operating secret Swiss bank accounts on behalf of former Labor senator Graham Richardson and one-time head of Australian Consolidated Press, Trevor Kennedy. The newspaper alleges that during the early 1990s stockbroker Rene Rivkin was trading shares in Offset Alpine for former Consolidated Press chief Trevor Kennedy and one-time federal minister Graham Richardson. www.abc.net.au /lateline/content/2003/s980034.htm   (674 words)

PM - HIH Royal Commission begins Liquidator Tony McGrath, auditors, the industry regulator and corporate watchdog ASIC [Australian Securities and Investments Commission], which is conducting its own investigations, as well as building and insurance groups, state and Commonwealth representatives. JUSTICE NEVILLE OWEN: Those associated with the commission have a firm resolve to inquire diligently and with requisite tenacity into the reasons for and the circumstances surrounding the failure of HIH. NARELLE HOOPER: As part of wide ranging terms of reference, the commission will inquire into whether any action by HIH directors, employees, auditors or advisers contributed to its collapse, whether there were any breaches of law, and the adequacy of the regulatory regime surrounding the company. www.abc.net.au /pm/stories/s370748.htm   (674 words)

Delayed start for HIH commission - smh.com.au Other documentation includes nearly 800 containers of files on 33 compact discs from the Australian Securities and Investments Commission, 330 files from APRA and scores more from auditors, accountants, actuaries and former HIH directors. The royal commission, which has a $30 million budget, had hoped to have the fit-out of its new hearing room in the Landmark Building in Sydney completed this week, but the builders were still hard at work last Thursday. The royal commission intends to publish witness statements and documents on the site as soon as they are tendered as evidence, with corrected transcripts posted on the Web within two hours of the close of each day's proceedings. www.smh.com.au /articles/2002/06/20/1023864472465.html   (674 words)

ATO Legal Database - CR 2003/30 - Income tax: Membership interests in the Australian Egg Corporation Limited AECL was registered with the Australian Securities Investments Commission on 18 November 2002 and began formal operations under a Statutory Funding Agreement with the Commonwealth on 1 February 2003. AECL was established by the industry as a shelf company with no previous trading history or activities and its constitution was developed in consultation with government to ensure it captures the intent of the proposal. Being a member of AECL allows egg producers to have their say in the promotional and R&D priorities of the industry. law.ato.gov.au /atolaw/view.htm?docid=CLR/CR200330/NAT/ATO/00001   (674 words)

Statistics Insolvencies, terminations and new registrations of Australian companies - Australian Securities and Investments Commission (ASIC). Australian Bureau of Agriculture and Resource Economics (ABARE) - ABARE is a primary source for data on the minerals and mining industry. Australian Bureau of Agriculture and Resource Economics (ABARE) - primary source of Australian agricultural data. www.aph.gov.au /library/intguide/stats   (1600 words)

PM - Questions fired into folding of HIH Insurance The company's under scrutiny from the regulators, the Australian Securities and Investments Commission, over its market disclosure, corporate governments, and possible insolvent trading. Today the industry regulator, the Australian Prudential Regulation Authority [APRA], moved to reassure thousands of policy holders that they would be out of pocket. But with questions now being asked about why the regulators didn't step in sooner and a flood of potential legal cross-claims, the recriminations are flying. www.abc.net.au /pm/stories/s261437.htm   (863 words)

Australian Prudential Regulation Authority - Australian Securities and Investments Commission - Australian Taxation Office - Levies burden changes It said that in addition to APRA’s requirements, the levies fund certain market integrity and consumer protection functions undertaken by the Australian Securities and Investments Commission (ASIC) and the Australian Taxation Office (ATO). Summarising levy funding requirements for 2005-06, the document said that the current budgeted total cost for APRA in that period was $93.4 million, with $14 million of APRA’s costs being met through offsets such as fees expected from superannuation trustee licensing and direct funding from the Government for work arising from the HIH Royal Commission. The superannuation sector is forecast to contribute less in Australian Prudential Regulation Authority (APRA) levy funding over the next four years, according to data released by the regulator this month. www.superreview.com.au /articles/13/0c02ec13.asp   (344 words)

Upstarts eye innovations in Internet searches - 3/27/04 But then she went to the Australian Securities and Investments Commission, LexisNexis and Dun & Bradstreet. When she suspected an Australian company recently of possible fraud, Hetherington turned first to Google. Startups and leading tech companies, including search exemplar Google, are tinkering with new ways of culling and presenting information -- ones that could prompt the next revolution in search. www.detnews.com /2004/technology/0403/27/technology-104885.htm   (344 words)

Office of International Relations - Australian Securities & Investments Commission Office of International Relations - Australian Securities and Investments Commission Date Printed 29 August 2005, © Australian Securities & Investments Commission co-ordinating ASIC's role in international policy and regulatory development through the International Organization of Securities Commissions (IOSCO) and other international regulatory bodies www.asic.gov.au /asic/ASIC.NSF/print/Office+of+International+Relations   (344 words)

summary_cybercrime_briefing.doc Keith Inman Director Electronic Enforcement, Australian Securities and Investments Commission (ASIC) Main points: Over the past few years we have seen a paradigm shift away from physical evidence towards virtual evidence, necessitated by the move by criminals to electronic based activities. Alastair MacGibbon Director, Australian High Tech Crime Centre Parts 13, 14 and 15 of the Telecommunications Act provide the levers to compel ISPs and carriers to comply with instructions of LEA’s in relation to law enforcement cooperation. The Australian High Tech Crime Centre is hosted by the Australian Federal Police, but is a separate agency which provides a national focus for computer related crime. www.iia.net.au /summary_cybercrime_briefing.doc   (344 words)

BusinessACT - Business Names Registration Names or words which by the direction of the Registrar-General or the Australian Securities and Investments Commission have been deemed to be undesirable eg Bank, National, Trust, Institute, Club; Where you (a person or a corporation), intend to commence trading within the Australian Capital Territory (ACT) under a name which is not your personal name or your corporation name, you are required to register that business name. In context 'Business Name' means a name, style, title or designation under which the business is carried on. www.business.act.gov.au /businesslicences/businessnameregistration.html   (344 words)

Superannuation Home Trustees are encouraged to seek independent advice in relation to specific issues and also refer to other regulatory agencies in respect of their areas of responsibility (such as Australian Securities and Investments Commission for disclosure and market conduct issues). APRA supervises complying superannuation funds other than Self-Managed Superannuation Funds (supervised by the Australian Taxation Office). Towards assisting trustees to manage superannuation funds prudently and in compliance with applicable requirements, this section of APRA website provides relevant information. www.apra.gov.au /Superannuation   (77 words)

Editorial: HIH is not a bad apple The same goes for the supposed industry watchdogs, the Australian Prudential Regulation Authority and the Australian Securities and Investments Commission, which were both well aware of HIH's difficulties but chose not to investigate. These bodies, and those like them in other industries, are in the pockets of the people they're supposed to be “watching” (as is the whole government, in point of fact). These “regulators” exist not to regulate, but to give the public the appearance of regulation while letting the companies do whatever they like. www.greenleft.org.au /back/2001/449/449p3b.htm   (958 words)

Community.gov.au - Insurance FIDO - Australian Securities and Investments Commission Watchdog - Insurance Australian Banking Industry Ombudsman, Telecommunications Industry Ombudsman, Energy Industry Ombudsman, Insurance Enquiries and Complaints Ltd and Financial Industry Complaint Service. APRA is the prudential regulator of banks, insurance companies and superannuation funds, credit unions, building societies and friendly societies. www.community.gov.au /Internet/MFMC/Community.nsf/pages/section?opendocument&Section=Insurance   (374 words)

Ferrier Hodgson Newcastle Mr Stephen William Summerville, of Brighton-le-Sands in New South Wales, was today sentenced in the Downing Centre Local Court after pleading guilty to lodging a document with the Australian Securities and Investments Commission (ASIC) that contained a false or misleading statement. Mr Anthony James Taylor, of Oakville in New South Wales, was today sentenced in the Downing Centre Local Court after pleading guilty to nine charges brought by the Australian Securities and Investments Commission (ASIC). The Australian Securities and Investments Commission (ASIC) last week prosecuted 29 directors and two corporations in the New South Wales local court, relating to 56 breaches of the Corporations Act 2001 (the Act). www.fhnewcastle.com.au /newsite/media.php3   (374 words)

Abbott Stillman & Wilson - John Rutherford After graduating from Monash University with a Masters degree in law, John worked for many years with the Australian Securities and Investments Commission and its predecessors as a senior executive. John worked as consultant with the Securities and Exchange Commission of Thailand in 1998 and in the latter part of 2003 with the State Securities Commission of Vietnam. For a number of years John has been a lecturer on securities and financial services in the post-graduate programs conducted by the Securities Institute of Australia. www.asw.net.au /people/john_rutherford.shtml   (226 words)

The World Today Archive - Rodney Adler: from bad to worse NICK MCKENZIE: When asked if he was the subject of a witch hunt by the financial watchdog, the Australian Securities and Investments Commission, Mr Adler replied: NICK MCKENZIE: The Australian Securities and Investments Commission alleges Adler purchased more than three and a quarter million HIH shares in June 2000 to manipulate the stockmarket, using HIH money but pretending it was his own. RODNEY ADLER: I believe ASIC have the right to regulate and unfortunately they're taking a very hard line with me, but that's my job and I'll defend it to the best of my ability. www.abc.net.au /worldtoday/content/2003/s900419.htm   (226 words)

Adler and Anor v Australian Securities and Investments Commission; Williams v Australian Securities and Investments Commission [2003] NSWCA 131 Adler and Anor v Australian Securities and Investments Commission; Williams v Australian Securities and Investments Commission [2003] NSWCA 131 In early June 2000, Mr Adler suggested to Mr Williams that the Australian Equities Unit Trust (“Trust”) be set up with a fund of approximately $30 - $40 million and with HIH as the foundation stakeholder investing $10 million. It was intended by both Mr Williams and Mr Adler that the Trust would be totally independent from HIH, managed by Mr Adler or a related person or entity who would have complete discretion as to the type of investments to be made. cclsr.law.unimelb.edu.au /judgments/states/nsw/2003/july/2003nswca131.htm   (226 words)

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