Governance and Conduct Obligations in Financial Services
Governance and Conduct Obligations in Financial Services is a comprehensive and incisive text that specifically covers corporate governance, conduct obligations and conduct risk.
This has been an area of intense ongoing interest among consumers, media, politicians, regulators and of course industry participants.
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This text provides an introduction to the nature of obligations which are specifically imposed on high managerial agents of corporations, and also provides an overview of general conduct obligations, mis-selling and conduct risk generally in financial services. Corporate Governance in Financial Services is a useful resource for practitioners working in the areas of commercial law, corporations law, intellectual property, litigation and media and communications.
- Unifying framework for examining the nature of obligations specifically imposed on high managerial agents of corporations and also an overview of general conduct obligations, mis-selling and conduct risk generally in financial services
- Plain English explanations of complex concepts
- Baxt, Black & Hanrahan, Securities and Financial Services Law, 8th ed, 2012
- Farrar & Hanrahan, Corporate Governance, 2016
Table of contents
PART A - OUTLINE
PART B - DUTIES BASED ON THE STATUS OF THE FINANCIAL SERVICES PARTICIPANT
2. Fiduciary and Equitable Duties at General Law
3. Duties of Directors and Officers
4. Duties of a Responsible Entity
5. Duties of Registrable Superannuation Entities
6. Duties of Trustees of Self-Managed Superannuation Funds
7. Duties of Insurance Entities
8. Duties of Authorised Deposit-taking Institutions
9. Duties of Entities that Provide Advice
10. Duties of Australian Financial Services Licensees
PART C - GENERAL CONDUCT OBLIGATIONS IMPOSED ON ANY ENTITY THAT PROVIDES FINANCIAL SERVICES
11. Obligation of good faith
12. Misleading or Deceptive Conduct
13. Unconscionable Conduct
14. Unfair contract terms
15. Anti-Competitive Conduct
PART D – OBLIGATIONS RELATING TO THE USE AND PROTECTION OF CUSTOMER INFORMATION
16. Collection, Use and Disclosure of Personal Information
17. Cyber Security Obligations
PART E – CONTEMPORARY DEVELOPMENTS IN MANAGING CONDUCT RISK AND REMEDIATION
18. The Role of Behavioural Insights and Statistics in a Regulatory Context
19. ASIC Guidance Relating to Remediation Programs
20. Recommendations of Financial System Inquiry