Tag: confidential information

Showing 3 out of 3 results

27 June 2018

Interpretation of MiFID I: ECJ preliminary ruling confirms information given to supervisory authorities by authorised firms can lose its confidential status after 5 years

Judgment by the European Court of Justice (ECJ) in the case of Bundesanstalt für Finanzdienstleistungsaufsicht v Baumeister (Case C-15/16) (19 June …
26 September 2014

Australia: ASIC focus on briefing of sell-side analysts, may seek product intervention powers

In a speech to the G100 held in Aust this week, ASIC Commissioner Price provided a short update on topics of ASIC focus.  These include: in …
25 July 2013

Australia: When and how ASIC gives your information to others

While the Australian Securities and Investments Commission (ASIC) has the power to commence its own proceedings, it is also able to assist private …