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ASIC releases updated policy guidance on administrative action against financial services providers

Piper Alderman
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Australia
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September 7 2012

ASIC has updated Regulatory Guide 98: Licensing: Administrative action against financial services providers to reflect changes to its policy on when and how ASIC may take administrative action against financial services licensees

ASX amends listing rules to help mid to small caps raise capital

Piper Alderman
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Australia
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August 7 2012

On 25 July 2012, the Australian Securities Exchange finalised new Listing Rules aimed at making it easier for mid to small caps (described in the new rules as “eligible entities”) to raise capital as well as to update the initial admission requirements

ASIC releases new disclosure guidance for agribusiness managed investment schemes

Piper Alderman
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Australia
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March 13 2012

ASIC has released a new regulatory guide with new disclosure benchmarks and principles for agribusiness managed investment schemes to assist retail investors to make informed investment decisions on these products

ASX consults on greater flexibility for capital raising for mid to small caps

Piper Alderman
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Australia
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May 10 2012

ASX has released a consultation paper detailing ASX’s proposals to facilitate capital raising for mid to small caps and updating the ASX admission requirements

Changes to the Corporations Act pending

Piper Alderman
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Australia
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May 10 2012

Over the past few months a number of proposed and possible amendments to the Corporations Act have been outlined by the Federal Government around Phoenix companies, the test for payment of dividends and executive remuneration

ASX updates guidance on continuous disclosure obligations

Piper Alderman
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Australia
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November 14 2012

ASX has recently released for public discussion a substantially revised version of ASX Listing Rule Guidance Note 8 on continuous disclosure for listed entities as well as proposed changes to certain Listing Rules regarding continuous disclosure obligations

ASX seeks comments on proposed changes to mining, oil and gas exploration and production company reporting and disclosure requirements

Piper Alderman
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Australia
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November 16 2011

On 5 October 2011, the ASX released a public consultation paper titled “ASX Listing Rules Review Issues Paper: Reserves and Resources Disclosure for Mining and Oil & Gas Companies”

ASIC reveals plans to improve prospectus disclosure for retail investors

Piper Alderman
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Australia
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May 17 2011

ASIC has released a consultation paper setting out proposals to enhance prospectus disclosure and to help retail investors make informed investment decisions

ASX seeks comments on rule changes for SME, Mid-Cap and Micro-Cap companies

Piper Alderman
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Australia
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April 19 2011

ASX is conducting a review aimed at better meeting the needs of issuers and investors for Australian SME, Mid-Cap and Micro-Cap companies outside the S&PASX200