Statutory Oversight of the Australian Securities and Investments Commission

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Statutory Oversight of the Australian Securities and Investments Commission

16 May 2013

© Commonwealth of Australia 2013
ISBN 978-1-74229-824-5

View the report as a single document - (PDF 916KB)

View the report as separate downloadable parts:

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Members of the Committee (PDF 149KB)
Duties of the Committee (PDF 322KB)
Abbreviations (PDF 7KB)
Chapter 1 - Introduction (PDF 95KB)

The public hearing
Key issues and the structure of the report

Chapter 2 - Concerns with the quality of auditing (PDF 231KB)

Auditing standards
ASIC's concerns with auditing quality

Chapter 3 - High-frequency trading and dark liquidity (PDF 157KB)

Dark liquidity
High-frequency trading
New Market Integrity Rules for dark liquidity and automated trading
Further regulatory proposals
Committee view

Chapter 4 - The Future of Financial Advice reforms (PDF 100KB)

Consulting on the reforms
A 'facilitative approach'
Exemptions from the opt-in requirement
Committee view

Chapter 5 - Developments with Trio Capital, Whitehaven Coal, Macquarie Entities and Storm Financial (PDF 220KB)

Trio Capital
The Government's response to the committee's Trio Capital report
Storm Financial
Whitehaven Coal hoax
Macquarie Entities enforceable undertaking
Debenture issuers, property funds, and debenture reform
Self-managed superannuation funds
ASIC's Annual Forum: The New Normal

Appendix 1 - Questions on notice (PDF 215KB)
Appendix 2 - Public hearings and witnesses (PDF 6KB)

For further information, contact:

Committee Secretary
Parliamentary Joint Committee on Corporations and Financial Services
Parliament House
Canberra ACT 2600

Phone: +61 2 6277 3583
Fax: +61 2 6277 5719