We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 226

Swimming between the flags: are financial advisers the new product lifeguards?
  • Clayton Utz
  • Australia
  • April 16 2015

The financial services industry has been the subject of significant regulatory reform over the last 15 years, starting with the introduction of the


ASIC calls for health check on cyber resilience
  • Clayton Utz
  • Australia
  • March 26 2015

The Australian Securities and Investments Commission (ASIC) has released a report titled "Cyber Resilience: Health Check". The report recommends that


Earnings surprises: ASX clarifies what it meant
  • Clayton Utz
  • Australia
  • March 19 2015

ASX has moved to clarify the continuous disclosure requirements for companies that have encountered earnings surprises. It is less than two years


Director share trading: it's about the optics, too
  • Clayton Utz
  • Australia
  • February 19 2015

The guidance highlights personal reputational risk (which is more likely to capture the attention of a director or executive) as a means to achieving


The six phases of an ASIC investigation - and how you can be prepared
  • Clayton Utz
  • Australia
  • February 5 2015

In the environment of investigations by a regulator, such as ASIC, while it may seem like a regulatory whirlwind to the uninitiated, it is generally


ASIC targets annual reports hits familiar inquiries and recommendations
  • Clayton Utz
  • Australia
  • February 5 2015

ASIC has released its findings from a review of 30 June 2014 financial reports for 300 listed and other public interest entities. Seventy-three


Looks can be deceiving: Responsible Entities get a high reminder on constitutional drafting
  • Clayton Utz
  • Australia
  • December 11 2014

In the recent decision of the High Court, Wellington Capital Ltd v ASIC & Anor 2014 HCA 43, it was held that a Responsible Entity could not make an


ASIC's new policy on employee incentive schemes now in operation
  • Clayton Utz
  • Australia
  • November 13 2014

Employee incentive schemes will be easier to implement under a new ASIC policy which started on 30 October 2014.Previously, a limited range of


US "fraud on the market" rules to affect securities class actions?
  • Clayton Utz
  • Australia, USA
  • September 18 2014

Securities class actions may be easier to prove if a recent court decision is followed through.A person who suffers an investment loss because of


ASIC warns against "novel" deal structures and dummy underwriting
  • Clayton Utz
  • Australia
  • September 18 2014

ASIC's concern appears to be that exceptions in section 611 of the Corporations Act may deliberately be used to acquire more than 20 without having