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Beyond glossy compliance manuals
Record ID:
23041
Format:
LIJ Article
Year:
2003
Author:
Currao, Dino ;
Subject:
Financial Services ; Damages ; Investment Brokers ; Stockbrokers ;
Source:
LIJ (2003) 77 No 3
Date_of_entry:
06/03/2003
Legislation:
CorpOrations Act 2001 (Cth) s 945A
Notes:
This article discusses the implications for financial service providers who may face claims for punitive damages if they do not have adequate systems in place to supervise and control their employees
Section:
Feature
Cases:
Ali v Hartley Poynton Ltd [2002} VSC 113 16 April 2002 ; Sellars v Adelaide Petroleum NL (1993-94) 179 CLR 332 ;
Month:
March

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