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
Release Date: November 01, 2016
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AUD$ 168.00
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ISBN/ISSN: 9780409343076
Release Date: November 01, 2016
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Product description

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

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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