RESEARCH REPORT RESEARCH REPORT
1
2
3
4
5
1
30 2
1986 3
1991 12 1992 4
4 1998 1999 7 5
FSA RIE RPB FSA (Financial Regulation) (Financial Stability) 6
7
8
1989 1 2 1 1999 23-25 2 2002 101 9
10
11
3 1992 12
13
14
2004 15
168 180 180 16
17
18
19
Motion to Show Cause (Application for An Order Compelling Compliance) 1000 In Contempt 11,000 2 ASIC 22,000 5 ASIC 20
20 1 5 6 180 230 21
22
1 2 i Disgorgement ii iii Receivers or Conservators iv v vi Restitution 3 4) Regulated Activities 23
ASIC 12 3 4 2 39 2004 24
25
(Financial Services and Market Tribunal) 2001 FSA FSA FSA FSA 26
21 27
FSA 28 1 2 ASIC ASIC ASIC Delegate ASIC ASIC 28
29
RDC 30
ASIC 3 31
32
33
MOU 34
35
50 36
2004 37
38
39