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