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The Corporations Act 2001 sets up a uniform approach to the regulation of financial services through a uniform licensing and disclosure regime. The general regulatory position is that a person (whether an individual or corporate entity) carrying on a financial services business in Australia must, unless exempted, hold an Australian financial services licence (AFSL) issued by ASIC.
The Australian Securities and Investments Commission (ASIC) is an independent commission of the Australian Government tasked as the national corporate regulator. ASIC's role is to regulate company and financial services and enforce laws to protect Australian consumers, investors and creditors. [2]
Australia: Australian Prudential Regulation Authority (APRA) ; Australian Securities and Investments Commission (ASIC) ; Australian Financial Complaints Authority (AFCA) Austria: European Central Bank through European Banking Supervision ; Financial Market Authority (FMA) Azerbaijan
ASIC has responsibility for market integrity and consumer protection and the regulation of certain financial institutions (including investment banks and finance companies or NBFI). The general regulatory position is that a legal person carrying on a financial services business in Australia must either hold an Australian financial services ...
The Corporations Act 2001 is an Act of the Parliament of Australia, which sets out the laws dealing with business entities in Australia. The company is the Act's primary focus, but other entities, such as partnerships and managed investment schemes, are also regulated.
Australian securities law relates to securities issued by corporations as well as other securities, including debentures, stocks and bonds issued by governments, and interests in managed investment schemes. Australian securities regulation rests on the principle that "financial markets cannot function effectively unless participants act with ...
The Corporations and Financial Services Commission was renamed and its role expanded as the Australian Securities and Investments Commission (ASIC) to deal with market integrity, consumer protection and corporations. APRA was established on 1 July 1998 under the Australian Prudential Regulation Authority Act 1998.
Australian Securities and Investments Commission (7 P, 1 F) Pages in category "Financial regulatory authorities of Australia" The following 7 pages are in this category, out of 7 total.