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Results: 1-10 of 88

Continuous disclosure and Newcrest Mining

  • Piper Alderman
  • -
  • Australia
  • -
  • March 20 2015

ASX is reviewing Guidance Note 8 on Continuous Disclosure, prompted by confusion over "earnings surprises" and disclosure obligations. A consultation

The Centro experience twelve months later

  • Piper Alderman
  • -
  • Australia
  • -
  • August 14 2012

It has been twelve months since Justice Middleton of the Federal Court of Australia delivered his judgments on liability and penalties in ASIC’s case against the Centro directors

Financial product risk disclosure including for wholesale clients

  • Piper Alderman
  • -
  • Australia
  • -
  • February 22 2013

Some important principles concerning risk disclosure arise out of the recent decisions in the Federal Court of Wingecarribee Shire Council v Lehman

A warning to directors and their legal representatives

  • Piper Alderman
  • -
  • Australia
  • -
  • August 12 2009

Drillsearch Energy Ltd (Drillsearch) commenced proceedings against two of its directors, a former director and two companies, the companies being shareholders of Drillsearch

Licensing requirement net tangible assets deferred tax assets included

  • Piper Alderman
  • -
  • Australia
  • -
  • October 5 2010

In a recent case, the AAT overruled a decision of ASIC cancelling the Australian financial services licence (AFSL) of a responsible entity (RE) that was the operator of a number of property trusts

Fiduciary duties of financial advisors

  • Piper Alderman
  • -
  • Australia
  • -
  • November 8 2012

Although it is hard to understand how this view could have arisen, there was a view amongst some members of the financial planning industry that financial planners did not owe fiduciary duties to their clients

Background on Crowd Sourced Equity Funding

  • Piper Alderman
  • -
  • Australia
  • -
  • October 2 2014

Crowd Sourced Equity Funding is a relatively recent method of company financing. It refers to arrangements through which a business (the issuer

Fee disclosure statements new ASIC regulatory guide RG 245

  • Piper Alderman
  • -
  • Australia
  • -
  • February 22 2013

Under new rules which will come in to operation from 1 July 2013, Australian Financial Services (AFS) licensees and representatives of AFS licensees

Back to the future: FOFA Financial Advice proposals defeated

  • Piper Alderman
  • -
  • Australia
  • -
  • December 18 2014

With the blocking in the Senate of the Government's proposed amendments to the Future of Financial Advice legislation by the Opposition together with

Corporate disclosure and directors’ and officers’ duties

  • Piper Alderman
  • -
  • Australia
  • -
  • June 7 2011

The Full Federal Court and the New South Wales Court of Appeal have recently handed down judgements in appeals in the 'Fortescue Metals' and 'James Hardie' proceedings brought by the ASIC in relation to misleading company announcements to the ASX