The regulation of market manipulation in australia: a historical comparative perspective



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Case law

Adler v R (2006) 57 ACSR 675

ASIC v Adler [2003] NSWCA 131

ASIC v Adler (2003) 46 ACSR 504

ASIC v Adler (2003) 21 ACLC 1810

ASIC v Plymin [2003] VSC 123

ASIC v Plymin (2003) 46 ACSR 126

ASIC v Plymin (2003) 21 ACLC 700

Boggeln v Williams [1978] 1 W LR 873

Cooke [1986] AC 909

Donald v ASIC (2001) 38 ACSR 10

Donald v ASIC [2001] AATA 366

Fame Decorator Industries Pty Limited v Jeffries (1998) 28 ACSR 58

Fame Decorator Industries Pty Limited v Jeffries (1998) 16 ACLC 1235

Fenwick v Jeffries Industries Limited (1995) 13 ACLC 1334

R v Adler [2005] NSWSC 274

R v Adler [2005] 53 ACSR 471

R v Aspinall (1876) 1 QBD 730

R v Aspinall (1876) 2 QBD 48 (Court of Appeal)

R v De Berenger (1814) 3 M&S 67

R v Feely [1973] QB 530

R v Ghosh [1982] 3 WLR 110

R v Ghosh [1982] QB 1053

R v Gilks [1972] 1 WLR 1341

R v McIvor [1982] 1 WLR 409

R v McIvor [1982] 1 All ER 491 (CA)

R v Williams [2005] NSWSC 315

R v Williams (2005) 216 ALR 113

Scott v Brown, Doering, McNab & Co [1892] 2 QB 724

Scott v Metropolitan Police Commissioner [1975] AC 819

Wai Yu-Tsang v R [1992] 1 AC 269

Legislation

Australia

Corporations Act 50 of 2001 (Cth)

Corporations Amendment (No 1) Act 131 of 2010 (Cth)

Corporations Law 109 of 1989 (Cth)

Corporations Legislation Amendment Act 110 of 1990 (Cth) (Corporations Law 1990)

Crimes Act 6231 of 1958 (Vic)

Crimes Act 12 of 1914 (Cth)

Criminal Code Act 12 of 1995 (Cth)

Criminal Law Consolidation Act 2252 of 1935 (SA)

Financial Services Reform Act 122 of 2001 (Cth)

Securities Industry Act 53 of 1970 (NSW)

Securities Industry Act 3 of 1975 (NSW)

Securities Industry Act 66 of 1980 (Cth)

Securities Industry (Amendment) Act 11 of 1971 (NSW)

Securities Industry (Application of Laws) Act 61 of 1981 (NSW)

Trade Practices Act 51 of 1974 (Cth)

Trade Practices Legislation Amendment Bill 2005 (Cth)

South Africa

Financial Institutions (Protection of Funds) Act 28 of 2001

Financial Markets Act 19 of 2012

Financial Markets Control Act 55 of 1989

Securities Services Act 36 of 2004

Stock Exchanges Control Act 1 of 1985

Government publications

Australia

Explanatory Memorandum of the Corporations Amendment (No 1) Bill 2010 (Cth)

Revised Explanatory Memorandum to the Financial Services Reform Bill 2001 (Cth)

Supplementary Explanatory Memorandum to the Financial Services Reform Bill 2001 (Cth)

South Africa

Draft Financial Markets Bill, 2011

Financial Markets Bill [B12-2012]

Internet sources

Armson 2009 http://goo.gl/iDn85l

Armson E 2009 False Trading and Market Rigging in Australia http://goo.gl/iDn85l accessed 6 May 2014

ASX 2010 http://goo.gl/6DP709

Australian Securities Exhange 2010 Disciplinary Process and Appeals Rule Book http://goo.gl/6DP709 accessed 1 May 2014

ASX 2010 http://goo.gl/sOR5t4

Australian Stock Exchange 2010 Market Rules http://goo.gl/sOR5t4 accessed 1 May 2014

Austin 2008 http://www.ssrn.com/abstract=1288970

Austin J 2008 Is My Client's Conduct Dishonest or Merely Excusable Sharp Practice? http://www.ssrn.com/abstract=1288970 accessed 29 April 2014

Austin 2009 http://goo.gl/3t76k5

Austin J 2009 A Rapid Response to Questionable Trading: Moving Towards Better Enforcement of Australia's Securities Laws http://goo.gl/3t76k5 accessed 28 April 2014

Barron 2014 http://goo.gl/RPqhWq

Barron C 2014 Greg Draws a Blank in Belfort Parallel http://goo.gl/RPqhWq accessed 3 March 2014

Blincoe 2001 http://goo.gl/A4Wje7

Blincoe R 2001 Datatec Directors Pay Up on Insider Trading Charges http://goo.gl/A4Wje7 accessed 3 March 2014

Bowen 2010 http://goo.gl/bLM7eN

Bowen C 2010 Strengthening of ASIC's Investigative Powers, Increased Penalties for Market Misconduct Offences http://goo.gl/bLM7eN accessed 28 January 2014

Bowen 2010 http://goo.gl/7WXkYS

Bowen C 2010 Greater Powers to the Corporate Regulator to Pursue Market Misconduct - Press Release 28 January 2010 http://goo.gl/7WXkYS accessed 4 July 2015

Ewart and Tobias 2010 http://goo.gl/mJBDdj

Ewart A and Tobias R 2010 Australia: Government Announces Increased Penalties for Market Misconduct and Greater ASIC Powers http://goo.gl/mJBDdj accessed 28 April 2014

FSB 2014 https://goo.gl/RPpjMC

Financial Services Board 2014 Enforcement Actions https://goo.gl/RPpjMC accessed 3 November 2014

Loke 2007 http://goo.gl/YVBTGQ

Loke A 2007 Common Origins, Different Destinies: Investors' Rights against Market Manipulation in the United Kingdom, Australia and Singapore http://goo.gl/YVBTGQ accessed 24 February 2014

Longo 2001 https://goo.gl/31VrsC

Longo J 2001 Market Misconduct Provisions of the Financial Services Reform Act: Challenges for Market Regulation https://goo.gl/31VrsC accessed 4 June 2014

Ministry of Economic Development 2002 https://goo.gl/jxUg0K

Ministry of Economic Development 2002 Reform of Securities Trading Law: Volume Two: Market Manipulation Law - Part IV: The Content of A Market Manipulation Regime https://goo.gl/jxUg0K accessed 13 April 2014

Morrell 2006 http://www.takeovers.govnt.nz/speeches/km_290506.pdf

Morrell K 2006 Changes to the Takeovers Code and Takeovers Act and an Update on the Operations of the Panel http://www.takeovers.govnt.nz/
speeches/km_290506.pdf accessed 29 April 2014

Myburgh and Davis 2004 http://www.genesis-analytics.com/public/FSBReport.pdf

Myburgh A and Davis B 2004 The Impact of South Africa's Insider Trading Regime: A Report for the Financial Services Board http://www.genesis-analytics.com/public/FSBReport.pdf accessed 9 February 2014

Samuel 2005 http://www.accc.gov.au/Samuel_Paper_2005.htm

Samuel G 2005 Cartels, Criminal Penalties and The Leniency Policy http://www.accc.gov.au/Samuel_Paper_2005.htm accessed 12 March 2014

Van Deventer 2008 http://www.fsb.co.za/public/marketabuse/FSBReport.pdf



Van Deventer G 2008 Anti-Market Abuse Legislation in South Africa http://www.fsb.co.za/public/marketabuse/FSBReport.pdf accessed 5 May 2014



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