Compliance Insights

29 January 2008

Welcome to the first edition of Compliance Insights for 2008 - and Happy New Year!

In this edition we'll look at:

  • a new handbook to help reference checking in the financial services industry
  • how good corporate governance practices can deliver real benefits to a business at a reasonable cost
  • meeting continuous disclosure requirements; and
  • preventing insider trading with an effective compliance program.

Because we'd like Compliance Insights to meet your needs, we welcome any feedback you have, particularly on the format or any subjects that should be covered in future editions.

Should you wish to make any suggestions or provide any feedback, please contact Randal Dennings or Graeme Howatson.

Reference checking in the financial services industry

By Randal Dennings and Andrew Cardell-Ree.

How can reference checking be improved? Randal Dennings and Andrew Cardell-Ree look at a new handbook setting out best practice.

The changing roles and responsibilities of company boards and directors

By Graeme Howatson.

New research into corporate governance suggest that it has a real benefit to the business and doesn't impose unreasonable costs, as Graeme Howatson explains.

Compliance with continuous disclosure obligations

By Greg Seeto and Graeme Howatson.

Meeting the continuous disclosure requirements of the Corporations Act 2001 is an ongoing task. Greg Seeto and Graeme Howatson look at what your compliance system should include.

ASIC v Citigroup - The compliance implications

By Greg Seeto.

The Citigroup case highlighted the importance of compliance systems, particularly when you're building Chinese Walls between parts of your business, says Greg Seeto.
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