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Results: 1-10 of 141

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


Backdoor listings -tips for a smooth transaction
  • Piper Alderman
  • Australia
  • September 24 2014

Following an increase in the recent number of backdoor listings on the ASX, ASIC has raised several concerns in relation to these transactions. These


Fast money ASX to accelerate rights issues
  • Piper Alderman
  • Australia
  • July 17 2013

ASX has recently released proposed amendments to the ASX Listing Rules to reduce the standard timetable for traditional rights issues and introduce


Reversal of fortune - Rosenberg and ASIC
  • Piper Alderman
  • Australia
  • October 29 2010

Rosenberg was disqualified by ASIC from providing financial services on the basis that he had engaged in misleading and deceptive conduct in relation to financial products by engineering transactions that created a false market or the appearance of a false market in listed securities


ASIC updates guidance on electronic offers of securities
  • Piper Alderman
  • Australia
  • April 4 2014

ASIC has recently issued an update to Regulatory Guide 107: Fundraising: Facilitating Electronic offers of securities that deals with electronic


Matters to consider when raising capital
  • Piper Alderman
  • Australia
  • February 11 2011

The central premise in the Corporations Act regarding capital raising is that an offer of securities needs disclosure to investors unless otherwise exempted


Directors and their adviser found liable in relation to phoenix activity
  • Piper Alderman
  • Australia
  • October 13 2009

On 8 September 2009, in an action brought by the Australian Securities and Investments Commission (ASIC), Acting Justice Windeyer of the Supreme Court of New South Wales found that Mr Timothy Donald Somerville, a solicitor, contravened the Corporations Act 2001 (Cth) (Act) by assisting eight directors of unrelated companies to breach the Act by engaging in what ASIC regards as illegal "phoenix activity"


GFC and the restructure of Managed Investment Schemes
  • Piper Alderman
  • Australia
  • August 2 2010

The impact of the GFC has resulted in some restructuring activity of Managed Investment Scheme arrangements


‘Unfair Contracts’ - How will the new law affect your Business?
  • Piper Alderman
  • Australia
  • October 27 2016

The Australian Consumer Law contained within the Competition and Consumer Act 2010 (ACL) and the Australian Securities and Investments Commission Act


Joint venture security: PPS transitional period ends
  • Piper Alderman
  • Australia
  • February 21 2014

On 31 January 2014 the transitional period under the Personal Property Securities Act 2009 (Cth) came to an end. Most would be aware the Personal