Precedents: Capital Markets & Securities — ECM/DCM and Disclosure
6 starting-point precedents for this area. Each one names the law it rests on and says how far AI may help.
- Precedents in this area
- 6
- Full text
- For signed-in accounts
- Newest law stated as at
- 17 October 2026
- Guidance for this area
- Tasks and AI use in Capital Markets & Securities — ECM/DCM and Disclosure
| Precedent | Kind | Where it applies | AI use | Law stated as at |
|---|---|---|---|---|
| Continuous disclosure policy and disclosure committee charterBoard-approved continuous disclosure policy for an ASX-listed entity, with a disclosure committee charter and a disclosure decision record. It covers LR 3.1 to 3.1B, ss 674 and 674A, leaks, analyst briefings and use of AI tools. | Policy | Australia, New Zealand, United Kingdom (England and Wales) | Yellow | 17 October 2026 |
| Trading halt request letter to ASXRequest to ASX for a trading halt under Listing Rule 17.1 covering each matter the rule requires, with a voluntary suspension variant and a run sheet for the decision and lodgement. | Letter | Australia | Red | 17 October 2026 |
| Due diligence planning memorandum and verification protocol for a prospectusMemo establishing the due diligence committee, scope, materiality thresholds, inquiry process, expert and director sign-offs, and verification protocol for an Australian prospectus, so the s 731 and s 733 defences can be evidenced. | Memo | Australia | Yellow | 17 October 2026 |
| Checklist for AI-assisted verification of offer and disclosure documentsStep-by-step controls for using an AI tool to match statements in a prospectus or other disclosure document to source material, so that AI speeds verification without weakening the due diligence defence. | Checklist | Australia | Yellow | 17 October 2026 |
| Securities trading policy (closed periods, clearance, exceptions)ASX-compliant securities trading policy covering every matter Listing Rule 12.12 requires, plus insider trading, hedging, margin loans, director notifications and trading plans, with a clearance request form. | Policy | Australia | Green | 17 October 2026 |
| Review checklist for AI-related statements in disclosure documents and annual reports ('AI washing')Checklist for testing every statement an issuer makes about its use of AI against evidence, covering capability, performance, revenue, governance and risk-factor claims, with the Australian misleading conduct tests and a US enforcement example. | Checklist | Australia, United States | Yellow | 17 October 2026 |
AI use levels: Green means AI can do most of the drafting and a lawyer reviews it. Yellow means AI helps in set ways and a lawyer checks specific points. Red means a lawyer does the work and AI stays out of the decisive steps.