Publications by Dimity Kingsford Smith | Law

Publications by Dimity Kingsford Smith

Back to profile

 

Edited Books and Collections

Editor (with Bradley, University of Miami) of a special issue of the US journal Law & Policy on online investing and innovation, including sole authorship of the Introduction to the collection; forthcoming as Volume 26:3 (July 2004). This originated from papers presented at public seminars I organised as the Director, Centre for Law in the Digital Economy and at a panel I organised for the annual meeting of the US Law and Society Association 2002, in Vancouver, Canada. Contributors are from USA, Britain, Canada and Australia.

Editor of a special issue of the Companies & Securities Law Journal, Australia's leading corporate law journal on the theme 'The Cyber-Corporation and Online Investing', including sole authorship of the Introduction to the collection;(2001) 19(8) Co & Sec LJ, 490. The papers were originally written for a panel I organised at the February 2001 meeting of the Corporate Law Teachers Association.

Economical With the Truth - the Press and the Media, DA Kingsford Smith and D Oliver (eds), ESC Publishing, Oxford, (1990)

Current Developments in Banking and Finance, DA Kingsford Smith (ed.), Sweet & Maxwell (1989)

Financial Services: Law and Practice, D.A. Kingsford Smith (ed.et.al.), (Butterworths, 1988-96)

 

Chapters in Books

With O Dixon, 'The Consumer Interest and the Financial Markets' in N Maloney et al (ed) The Oxford Handbook of Financial Regulation (Oxford: Oxford University Press, 2015) 697-735

'Can There be a Fair Share? Fairness Regulation and Financial Markets' in J. Sarra, ed., Explorations of Fairness, Peter Wall Institute for Advanced Studies (Toronto Canada: Carswell Thompson, Feb 2013) 251-276

'Financial Services Regulation and the Investor as Consumer' in Howells, Ramsay and Wilhelmsson (ed) The Handbook on Research on International Consumer Law (Edward Elgar, 2010) 431-481

"Networks, Norms and the Nation State: Thoughts on Pluralism and Globalized Securities Regulation" in C. Dauvergne (ed) Jurisprudence for an Interconnected Globe (Ashgate, 2003) 93-126

"The Regulation of International Financial Intermediaries in the United Kingdom" in Current Developments in Banking and Finance, D A Kingsford-Smith (ed.), Sweet & Maxwell (1989) 89-119

"Recent Developments in Electronic Banking in Britain" in Anglo-Polish Legal Essays  (UCL and Univ of Warsaw, 1989)

 

Articles and Notes in Refereed Journals

'The Academy and the Profession: Making the Conversation more Fruitful' (2013) 28 (1) Australian Journal of Corporate Law 82-92.

'Governing the Corporation: the Role of 'Soft' Regulation' UNSW Law Journal Vol 35(1) 2012, 376-401.

‘ASIC Regulation for the Investor as Consumer’ Companies & Securities Law Journal Volume 29 Parts 5-6 327-354 (August 2011).

'A Harder Nut to Crack: Responsive Regulation in the Financial Services Sector' forthcoming in symposium issue on responsive regulation in (2011) Univ British Columbia Law Review (Summer 2011).

Williamson, K. & Kingsford Smith, D. 'Empowered or vulnerable? The role of information for Australian online investors.'  Canadian Journal of Information and Library Science, Vol. 34, No. 1. (2010)

'Regulating Risk: Individuals and the Global Financial Crisis' in University of New South Wales Law Journal Vol 32(2), 514-546 (2009).

'The Same Yet Different: Australian and US Online Investing Regulation' University of Toledo Law Review, (2006) 37(2) 461-95.

'ASX Principles of Good Corporate Governance: Hybrid Approaches to Board Responsibilities' (under review).

With K Williamson, 'How do Online Investors Seek Information and What Does This Mean for Regulation?  2004 (2) The Journal of Information Law and Technology at 12. http://www2.warwick.ac.uk/fac/soc/law/elj/jilt/2004_2/kingsford-smithandwilliamson/

'Online Investing and the Online Consumer: State and Decentred Regulatory Responses' (2004) 26:3 Law & Policy (in press).

 'Beyond the Rule of Law? Decentred Regulation in Online Investment' (2004) 26:3 Law & Policy (in press).

'Is Due Diligence Dead? Financial Services Disclosure Under the Financial Services Reform Act 2001' (2004) 22 Company & Securities Law Journal 128-150.

'What is Regulation? A Reply to Julia Black's 'Critical Reflections on Regulation'" (2002) 27 Australian Journal of Legal Philosophy 37-46'

Decentred Regulation in Online Investing' (2001) 19 Company & Securities Law Journal  532-549

'Superannuating the Second Sex: Law, Privatisation and Retirement Income' (2001) 64(4) Modern Law Review 519-42

'Who Knows Best? Review of Discretionary Powers in Superannuation Funds' (2000) 28 Australian Business Law Review 428-42

Between the Market and the State: Interpretation in the Public Interest, a Rejoinder to Whincop's "Immanent Conservatism"'  (2000) 22(2) Sydney Law Review 287-96 This was written as a rejoinder to Whincop M 'The Immanent Conservatism of Corporate Adjudication: Thoughts on Kingsford Smith's "Interpreting the Corporations Law"' (2000) 22(2) Sydney Law Review 271-87 which was a reply to the following publication

'Interpreting the Corporations Law: Purpose, Practical Reasoning and Public Policy' (1999) 21 Sydney Law Review 161-201

'Studying Corporations Law in Context' (1999) The Law Teacher - The International Journal of Legal Education 196-217

'Regulation of the Promotion and Sale of Superannuation in Australia' Australian Business Law Review (1993) Vol 21 No 1, 9-43

'Life Insurance Linked Investment and the Trade Practices Act' (1992) Aust Inst. Insur. Journal Vol 15 No 5, 50-55

'The ISC's Administrative Guidelines for the Promotion and Sale of Life Insurance and Superannuation Bonds' Aust. Instit. Insur. Journal, (1992) Vol 16 No 1, 32-37

'The Banker's Right to Compound Interest' (1990) Lloyds Maritime and Commercial Law Quarterly Pt. 4, 489-91.

Book reviews: Journal of Banking and Finance, 1990 Vol No. 3, 232-3; Journal of International Banking and Financial Law, Oct 1990, 52

 

Governmental, Professional and Community Publications

Financial System Inquiry (the Murray Review) an Inquiry into the Performance of the Australian Financial System, submission to Final Report entitled ‘The Retail Investor and Financial Consumer’  at  http://fsi.gov.au/consultation/second-round-submissions/ August 2014.

Financial System Inquiry (the Murray Review) an Inquiry into the Performance of the Australian Financial System, second submission August 2014 at http://fsi.gov.au/consultation/second-round-submissions/

Financial System Inquiry (the Murray Review) an Inquiry into the Performance of the Australian Financial System, submission entitled 'The Interest of the 'Financial Citizen' as Retail Investor and Financial Consumer' at http://fsi.gov.au/consultation/submissions20140520/ 2 April 2014

Australian Parliament House Senate Economic References Committee Inquiry Into the Performance of ASIC, Submission No 153, 21 October 2013 at http://www.aph.gov.au/Parliamentary_Business/Committees/Senate/Economics/ASIC/Submissions

Submission to Australian Commonwealth Treasury on Future of Financial Advice (FOFA) Exposure Draft of Legislation and Explanatory Memorandum, 20 September 2011

With Healey D, UNFAIR CONTRACT TERMS IN CONSUMER CONTACTS: EXAMPLES, ARGUMENTS AND RECOMMENDATIONS FROM ONLINE INVESTING, A Submission for the Inquiry into Unfair Contract Terms in Consumer Contracts (Parliament of NSW), 10 November, 2006 at {C}http://parliament.nsw.gov.au/prod/PARLMENT/Committee.nsf/0/30bef9dc64c51811ca25

"Importing the E-world into Canadian Securities Regulation" in Canada Steps Up - Maintaining a Competitive Capital Market in Canada (October 2006) for the Task Force to Modernise Canadian Securities Legislation (initiated by Investment Dealers Association and Capital Markets Institute, University of Toronto) at http://www.tfmsl.ca/docs/V5(6)%20Kingsford%20Smith.pdf

 "Promoting Certainty: Purposive Interpretation of the Corporations Law" (1999) 51(9) Australian Company Secretary

"Unveiling the Waterfront: The Corporate Veil, Director's Duties and Voluntary Administration" (1998) 10 Butterworths Corporations Law Bulletin 7-11

Financial Services: Law and Practice Bulletin, (Butterworths 1988-96)

Members Guide to Superannuation (Law Foundation of NSW)

 

Work in Progress

With C Bradley (University of Miami), Regulation of Financial Markets (OUP), monograph.

With E McNeil, 'Legal Implications of Using Community Networks in Online Investing'

'Suitability On-Line: Regulating Investment Advice in the Digital Economy'

'Images of Financial Regulation: Regulatory Culture and Regulatory Style'

 

Conference Papers and Presentations (* indicates invited presentation)

ASIC Forum, presentation and panel discussion, 'Caveat Vendor and Product Intervention Powers' 24 March 2015, Sydney; *

ASIC Forum, After dinner panel discussion, 'Can the financial sector self-regulate?' 23 March 2015, Sydney; *

With Marina Nehme, ‘Product Intervention Powers: a Legal, Comparative and Policy Review’ ASIC Consumer Advisory Panel, 17 March 2015.*

CIFR Workshop II the FSI Final Report 'Consumer Outcomes' Panel Chair and report discussant and rapporteur by invitation, 11 March 2015, Sydney; *

Superannuation Committee of the Law Council of Australia 'Super Forever' invited presentation, 'The Consumer Interest: Product Intervention Powers and Fairness' 19-20 February 2015, Brisbane; *

Corporate Law Teachers Association, 'Suitable or Systemic? Regulating Financial Consumer Risk Using Product Intervention Powers' 1-3 February 2015, Melbourne;

'The Performance of ASIC' evidence to the Australian Senate Committee hearing on 19 February 2014; *

Corporate Law Teachers Association, 'The Academy and the Profession' 3-5 February 2013, Canberra; *

'Best Interests, Proper Purposes & Creditors: Westpac Bank v Bell Group' professional presentation at Allens-Linklaters, 17 October 2012, Sydney. *

'The Future of Financial Advice: Legislative Reform, Regulations and Guidance' presentation to the Financial Markets Authority Code Committee, Wellington New Zealand, 7 August 2012. *

Presentation as discussant, 'Discursive Framing, Perceptions and Rumours: Fluid Challengers to Legal Categories' reviewing papers on deceptive impression advertising, proprietary discovery and IP, cyber-crime and fair credit reporting, rumourtrage and Agri-Food regulatory models, at Law and Society conference Honalulu, Hawaii 7 June 2012.

'Responsive Regulation and 'Campaign Enforcement' in Financial Regulation' paper and presentation at Law and Society conference Honolulu, Hawaii 6 June 2012.

'Can There be a Fair Share? Fairness Regulation and Financial Markets' Invited participant work shop presentation Explorations of Fairness, Peter Wall Institute for Advanced Studies, UBC, Vancouver, BC 19 January 2012. *

'Fairness and the Democratisation of High Finance' paper and presentation for the National Centre for Business Law, Univ British Columbia, Wall Centre, Vancouver BC, 16 January 2012. *

'The Future of Financial Advice: Recent Developments in Public Policy and Legislative Reform' presentation to the Financial Markets Authority Staff and Code Committee, Wellington New Zealand, 2 December 2011. *

'Governance of Superannuation' panel discussion, Centre for Law, Markets and Regulation, UNSW O’Connell Street, April 2011;

'Can There be a Fair Share?' Symposium on Fairness, Peter Wall Institute, University of  British Columbia Vancouver, 31 March 2011;

'The Future of Financial Advice' invited remarks and panel discussion ASIC Summer School, Sydney, 22 February 2011; *

'A Harder Nut to Crack: Responsive Regulation in the Financial Services Sector' delivered at Braithwaite Symposium University of British Columbia, Vancouver, 1 October 2010; *

'Professionalising the Financial Advice Industry' Centre for Law, Markets and Regulation, The Mint, August 2010.

'A Statutory Fiduciary Duty for Financial Advisers? An Analysis' Allens Arthur Robinson (a leading law firm) client conference, June 2010. *

'Beyond Disclosure: How Did Retail Investors and Financial Consumers Fare in the Crisis?'  Invited Key Note Address to ASIC Summer School, Melbourne, 3 March 2010; *

'Consumer or Investor? Individuals, Risk and the Global Financial Crisis' address for the Hartnell Colloquium, ANU, Canberra, 31 July, 2009 *

'Measuring Regulatory Effectiveness - What Does This Mean for Compliance?' Responsible Officers Association, Financial Services and Investments Association, Sydney, 27 April 2007 *

'Measuring Regulatory Effectiveness' in 'Tensions in the Regulatory State Seminar' Mallesons Stephen Jaques, Sydney, 2 April, 2007

'Measuring Regulatory Effectiveness - What, How and Why?' Keynote address for annual conference of Compliance Institute of Australia, Sydney 28 March 2007 *

 '"Importing the E-world into Canadian Securities Regulation" presentation and policy discussion for the Task Force Task Force to Modernise Canadian Securities Legislation, Toronto, 1 February 2006 (invited audience of Canadian regulators, industry representatives and academics) *

'Governing the Corporation in Canada' Canadian Law and Society Annual Meeting, Harrison Hot Springs, BC, Canada, 25 June 2005.

'Governing the Corporation: the Role of 'Soft Regulation'', US Law and Society Association Annual Meeting, Las Vegas, Nevada, USA, 1 June 2005.

'Criminal Liability for Corporate Transactions: Learning from HIH' Seminar for Gilbert and Tobin, 12 May 2005 *

''Online Trading and Free Speech: Should All Internet Financial Advice be Regulated?' UNSW Faculty of Law Seminar, 10 May 2005 *

'Follow My Leader? Similarities and Differences in Australian and US Online Investing Regulation' conference presentation to mark the tenth anniversary of the first electronic prospectus authorised by the SEC, at Cyberlaw Institute, University of  Toledo, Toledo, Ohio, USA, 8 April 2005 *

'Transparency in the Governance of Trade, Finance and Investment' Monash Institute for the Study of Global Movements, Bayview Conference Centre, 8 December 2003

'Vulnerable or Empowered? How Do Online Investors Seek Information?' UNSW Law Faculty Seminar, Sydney, 19 September 2003 *

'Decentred Regulation in Online Investment: Implications for the Rule of Law?' Law & Society Association Annual Meeting, Vancouver Canada, 1 June 2002

'Regulating at a Distance', reply to Professor James Salzman 'Protecting Nature's Services', Washington College of Law Symposium, Monash University Melbourne, 23 May 2002

'Decentred Regulation in Online Investment', invited paper for the Research School for the Social Sciences, ANU Canberra, 15 November 2001 *

'Scams, Lies and Information: Investment Advice and the Online Investor', CLiDE Inaugural Symposium, Melbourne, 9 August 2001

'Decentreing Regulation: A Reply to Julia Black', reply to keynote address at Australian Society of Legal Philosophy, ANU Canberra, 15 June 2001 *

'Suitability On-line: Regulating Investment Advice in the 'New Economy', Corporate Law Teachers Association, Melbourne, 12 February 2001

'Globalisation and Financial Regulation: the Case of IOSCO', Symposium on Globalisation, Julius Stone Institute, Sydney, August 2000

'Globalisation and Financial Regulation: the Case of IOSCO', American Law & Society Association meeting, Miami, May 2000

'Images of Financial Regulation: Regulatory Culture and Regulatory Style', seminar for Law Faculty, University College, London, November 1999 *

'Superannuating the Second Sex: Law, Privatisation and Retirement Income', Monash University Faculty of Law, November 1999 *

'Unequal Vesting: Women and Superannuation', seminar for the Law Department, London School of Economics, London, October 1999 *

'Who Knows Best? Review of Discretionary Powers in Superannuation Funds', University of Adelaide Faculty of Law, July 1999 *

'Public or Private - Images of Financial Regulation', American Law & Society Association meeting, Chicago, May 1999

'Interpretation of the Corporations Law: Practical Reasoning and Purpose', Australian Society of Legal Philosophy, ANU, Canberra, April 1999

'Comparisons With Canada: Women and Retirement Income in Australia', CLE Seminar, University of Sydney, Sydney, March 1999

'False Economies: Women and Superannuation', Feminist Law Academic Workshop, Sydney, February 1999. Research funded by Large ARC Grant

'Interpreting the Corporations Law: Purpose, Practical Reasoning and Public Policy', Australian Corporate Law Teachers Association, Melbourne, February 1999

'Teaching Corporations Law in Context', Vice-Chancellor's Teaching Showcase, November 1998 (Teaching Excellence Award Session) *

'Teaching the Corporations Law in the Age of Statutes', Australian Corporate Law Teachers Association, Melbourne, February 1997

'Regulating Superannuation After the Wallis Report'; keynote speaker National Superannuation Practitioners Conference, Gold Coast, February 1997 *

'The New Corporations Law', Australian Securities Commission, July 1990 *

'Recent Developments in Electronic Banking in Britain' Warsaw University/UCL symposium, Warsaw, September 1988

'Regulation of International Financial Intermediaries in the United Kingdom' Current Legal Problems Lecture Series, February 1988, University College London *

'Restitution Against Government' Society of Public Teachers of Law, Annual Meeting 1987

Page Top

Back to top