Footnotes
Chapter 1 - Statutory oversight
[1]
www.aph.gov.au/Senate/committee/corporations_ctte/asic/index.htm
Chapter 2 - Issues raised with ASIC
[1]
Ms Belinda Gibson, Deputy Chairman, ASIC, Committee Hansard, 24
November 2010, p. 24.
[2]
Ms Gibson, Committee Hansard, 24 November 2010, p. 24.
[3]
Joint Committee on Corporations and Financial Services, Statutory
Oversight of the Australian Securities and Investments Commission, June
2010, p. 3.
[4]
Ms Gibson, Committee Hansard, 24 November 2010, pp 22–23.
[5]
Ms Gibson, Committee Hansard, 24 November 2010, p. 23.
[6]
Mr Tony D'Aloisio, Chairman, ASIC, Committee Hansard, 24 November
2010, p. 24.
[7]
Ms Gibson, Proof Committee Hansard, 23 June 2010, p. 11.
[8]
ASIC, 'ASIC consults on equity market structure regulatory framework',
Media release 10-227, 4 November 2010.
[9]
Eg. Patrick Durkin, 'ASIC presses brokers to report suspect clients', Weekend
Australian Financial Review, 22–23 January 2011, p. 13.
[10]
Eg. Jacob Bunge, '2nd update: CBOE's Brodsky Seeks Review Of Dark-Pool
Trading', Wall Street Journal Business online, 20 January 2011, http://online.wsj.com/article/BT-CO-20110120-716694.html
(accessed 24 January 2011).
[11]
Technical Committee of IOSCO, Issues Raised by Dark Liquidity –
Consultation Report, CR05/10, October 2010, http://www.iosco.org/library/pubdocs/pdf/IOSCOPD336.pdf
(accessed 24 January 2011).
[12]
ASIC, Report 227: ASIC supervision of markets and participants: August
to December 2010, January 2011, p. 4.
[13]
ASIC, Report 227: ASIC supervision of markets and participants: August
to December 2010, January 2011, pp 8–9.
[14]
Dr Peter Boxall AO, Commissioner, ASIC, Proof Committee Hansard, 23
June 2010, p. 3.
[15] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 25.
[16] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 25.
[17] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 27.
[18] Mr
D'Aloisio, Committee Hansard, 24 November 2010, pp 27–28.
[19] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 28.
[20] Mr
D'Aloisio, Committee Hansard, 24 November 2010, pp 27–28.
[21] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 17.
[23]
A further potential risk is the re-direction of resources from one
function to another in order, for example, to be seen to be achieving results
by focusing on the softer target or to satisfy political priorities.
[24]
Mr D'Aloisio, Committee Hansard, 24 November 2010, p. 3.
[25] ASIC,
'ASIC announces intention to commence legal action', Media release 10-250, 26 November 2010.
[26] ASIC,
'ASIC has commenced Storm legal proceedings', Media release 10-281, 22 December 2010.
[27]
Mr D'Aloisio, Proof Committee Hansard, 29 April 2010, p. 41.
[28]
Ms Gibson, Proof Committee Hansard, 23 June 2010, p. 7.
[29]
Ms Gibson, Proof Committee Hansard, 23 June 2010, p. 8.
[30] Ms Gibson, Proof
Committee Hansard, 23 June 2010, p. 9.
[31] Mr D'Aloisio,
Proof Committee Hansard, 23 June 2010, p. 10.
[32] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 14.
[33]
Mr Medcraft, Committee Hansard, 24 November 2010, p. 14.
[34]
ASIC Answer to Question on Notice #3, 24 November 2010.
[35]
Mr D'Aloisio, Committee Hansard, 24 November 2010, p. 13.
[36]
Mr D'Aloisio, Committee Hansard, 24 November 2010, p. 13.
[37]
Mr D'Aloisio, Committee Hansard, 24 November 2010, p. 13.
[38] Parliamentary
Joint Committee on Corporations and Financial Services, Statutory oversight
of the Australian Securities and Investments Commission: February 2010, p.
5.
[39] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 26.
[40] Dr
Boxall, Proof Committee Hansard, 23 June 2010, pp 16–17.
[41] Mr
D'Aloisio, Committee Hansard, 24 November 2010, p. 25.
[42] Dr
Boxall, Proof Committee Hansard, 23 June 2010, p. 16.
[43] Dr
Boxall, Mr D'Aloisio, Ms Gibson, Proof Committee Hansard, 23 June 2010,
pp. 16–17.
[44] Mr
D'Aloisio, Proof Committee Hansard, 23 June 2010, p. 15.
[45]
Mr D'Aloisio, Proof Committee Hansard, 23 June 2010, p. 26.
[46]
Mr D'Aloisio, Proof Committee Hansard, 23 June 2010, p. 27.
[47]
ASIC Answer to Question on Notice #6, 23 June 2010.
[48]
ASIC Answer to Question on Notice #8, 23 June 2010
[49]
ASIC Answer to Question on Notice #7, 23 June 2010.
[50]
Mr D'Aloisio, Proof Committee Hansard, 23 June 2010, p. 30.
[51]
ASIC Answer to Question on Notice #9, 23 June 2010.
[52]
Mr D'Aloisio, Proof Committee Hansard, 23 June 2010, p 27–28.
[53]
Mr D'Aloisio, Proof Committee Hansard, 23 June 2010, p. 26.
[54]
ASIC Answer to Question on Notice #9, 23 June 2010.
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