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Category Archives: Financial Services

CDPP Prosecution Policy

The Prosecution Policy of the Commonwealth underpins all of the decisions made by the CDPP throughout the prosecution process and promotes consistency in decision making. It is a public document and applies to all Commonwealth prosecutions. The Prosecution Policy outlines the relevant factors and considerations which are taken into account when our prosecutors are exercising […]

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Marketing practices in initial public offerings (IPO) of securities Report 494

From Report 494 Marketing practices in initial public offerings of securities September 2016. The report outlines the key findings from reviews we conducted by ASIC to examine how initial public offerings (IPOs) are marketed to retail investors. ASIC particularly considered the extent to which social media has become important for marketing. The report identifies some risks and recommendations that may be […]

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