Securities and Financial Services Law, 9th edition

Securities and Financial Services Law is the leading legal analysis of securities and financial services law and regulation in Australia. Written by leading experts in the field, this book is designed for use by students, legal practitioners, securities industry professionals, bankers and accountants.

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ISBN/ISSN: 9780409343069

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Now in its ninth edition, Securities and Financial Services Law is the leading legal analysis of securities and financial services law and regulation in Australia. The book provides a comprehensive and practical treatment of the relevant parts of the Corporations Act and the Australian Securities and Investments Commission (ASIC) Act, the Australian Securities Exchange (ASX) Listing and ASIC Market Integrity Rules, ASIC policy, the market competition and Future of Financial Advice reforms, as well as reference to relevant case law.

An introductory chapter presents an overview of the development and shape of securities regulation in Australia. The balance of the work is structured into parts focusing on securities and financial product issuers, including continuous disclosure requirements, investor claims for defective disclosure and securities class actions; markets; intermediaries; and market conduct regulation.

Written by leading experts in the field, this book is a valuable resource for law and business students, legal practitioners, securities industry professionals, bankers and accountants.

Features

  • High level work on advanced corporations law area
  • Written by leading experts in the field
  • Comprehensive treatment of financial services regulation in a dynamic market

Related Titles

Australian Corporations Legislation 2016
Austin & Ramsay, Ford, Austin & Ramsay’s Principles of Corporations Law, 2014, 16th edition
Farrar & Hanrahan, Corporate Governance, 2016

Featured authors

Professor Robert Baxt AO
Hon. Justice Ashley Black
Professor Pamela Hanrahan

Professor Robert Baxt AO

Professor Robert Baxt AO is an Emeritus Partner at Herbert Smith Freehills, Professorial Fellow at the University of Melbourne, Honorary Professor at Griffith University, and former Chairman of the Trade Practices Commissioner (now the ACCC)

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Hon. Justice Ashley Black

Justice Black was appointed a Judge of the Supreme Court of New South Wales on 4 July 2011. He was previously a dispute resolution partner at Mallesons Stephen Jaques where he practised primarily in commercial litigation and financial services regulation. He was admitted as a solicitor in 1987 and was a Judge's Associate in the Federal Court of Australia in 1988. He is an Adjunct Professor at the University of Sydney Law School and a Visiting Fellow in the Faculty of Law at the University of New South Wales.

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Professor Pamela Hanrahan

Professor Pamela Hanrahan is a Professor and Director of Research in the School of Taxation and Business Law at UNSW, Australia. She is currently a Fellow of the Financial Services Institute of Australasia, a member of the Corporations Committee of the Law Council of Australia, a Senior Fellow of the Melbourne Law School and a member of the Society of Investment Law (USA).

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Table of contents

PART 1 INTRODUCTION

 
CHAPTER 1 REGULATING SECURITIES AND MARKETS 

 
CHAPTER 2 ADMINISTRATION OF THE SECURITIES
 AND FINANCIAL SERVICES LAWS 

 
CHAPTER 3 DEFINING FINANCIAL PRODUCTS 

 
 
PART 2 ISSUERS

 
CHAPTER 4 REGULATION OF SECURITIES OFFERINGS 

 
CHAPTER 5 CONDUCTING A REGULATED SECURITIES OFFER 

 
CHAPTER 6 OFFERING MANAGED INVESTMENTS, DERIVATIVES
 AND OTHER FINANCIAL PRODUCTS 

 
CHAPTER 7 CONTINUOUS DISCLOSURE 

 
CHAPTER 8 LIABILITY FOR DEFECTIVE DISCLOSURE 

 
CHAPTER 9 INVESTOR CLAIMS FOR DEFECTIVE DISCLOSURE

 
 
PART 3 MARKETS

 
CHAPTER 10 MARKET INFRASTRUCTURE PROVIDERS 

 
CHAPTER 11 OVERVIEW OF REGULATION OF THE SECURITIES 
 MARKETS AND THE REGULATION OF MARKET PARTICIPANTS 

 
CHAPTER 12 ENFORCEABILITY OF THE ASX LISTING RULES 

 
 
PART 4 INTERMEDIARIES

 
CHAPTER 13 AUSTRALIAN FINANCIAL SERVICES LICENSING 

 
CHAPTER 14 FINANCIAL SERVICES LICENSEES AND THEIR CLIENTS 

 
CHAPTER 15 CONSUMER PROTECTION

 
 
PART 5 MARKET CONDUCT

 
CHAPTER 16 MARKET MISCONDUCT, PROHIBITED CONDUCT 
 AND SHORT SELLING 

 
CHAPTER 17 INSIDER TRADING

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