Full Court Minute Books

Case B29/2019

Australian Securities and Investments Commission v. King & Anor

Case No.


Case Information

Lower Court Judgment

18/12/2018 Supreme Court of Queensland (Court of Appeal) (Morrison & McMurdo JJA, Applegarth J)

[2018] QCA 352


Corporations law – Officers of corporation – Where the Australian Securities and Investments Commission (“ASIC”) commenced civil penalty case against MFS Investment Management Ltd (“MFSIM”) and various directors, officers and employees of the MFS Group of companies – Where proceedings against MFSIM resolved by consent but trial proceeded against individuals – Whether Court of Appeal erred by concluding that it was necessary for ASIC to prove that the first respondent acted in an “office” of MFSIM in order for him to be an “officer” of MFSIM for the purposes of ss 601FD and 9(b)(ii) of Corporations Act 2001 (Cth).

Short particulars


17/05/2019 Hearing (SLA, Sydney v/link Brisbane)

29/05/2019 Notice of appeal

05/07/2019 Written submissions (Appellant)

05/07/2019 Chronology (Appellant)

02/08/2019 Written submissions (First Respondent)

02/08/2019 Chronology (First Respondent)

23/08/2019 Reply (Appellant)

29/08/2019 Reply on the Cross-Appeal (First Respondent)

09/10/2019 Hearing (Full Court, Canberra) (Audio-visual recording)

09/10/2019 Outline of oral argument (Appellant)

09/10/2019 Outline of oral argument (First Respondent)

23/10/2019 Amended Notice of Appeal (Appellant)

11/03/2020 Judgment (Judgment Summary)