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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 purpose of ASC was to unify corporate regulators around Australia by replacing the National Companies and Securities Commission and the Corporate Affairs offices of the states and territories. The corporate regulator became the Australian Securities and Investments Commission (ASIC) on 1 July 1998, when it also became responsible for ...
The main body of substantive law about securities is found in the Corporations Act 2001 (Cth), as well as the regulations made under that Act. Whilst much of the law is derived from earlier regulation (especially the bust in Australian mineral stocks of the late 1960s), the sections relating to securities regulation have been subject to recent amendment.
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 ...
Central Financial Commission (CFC) ; Central Financial Work Commission (CFWC) ; National Administration of Financial Regulation (NAFR) ; China Securities Regulatory Commission (CSRC) Colombia: Superintendencia Financiera de Colombia: Comoros: Central Bank of the Comoros ; Regional Insurance Control Commission (CRCA) Democratic Republic of the Congo
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.
Pages in category "Financial regulatory authorities of Australia" The following 7 pages are in this category, out of 7 total. This list may not reflect recent changes .
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.