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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AUD$ 131.00
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ISBN/ISSN: 9780409343489

Product description

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.

Features

  • 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

Related Titles

Baxt, Black & Hanrahan, Securities and Financial Services Law, 8th ed, 2012
Farrar & Hanrahan, Corporate Governance, 2016

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Table of contents

PART A – OUTLINE 

  1. Introduction


PART B – DUTIES BASED ON THE STATUS OF THE FINANCIAL SERVICES PARTICIPANT

  1. Fiduciary and Equitable Duties at General Law

  2. Duties of Directors and Officers

  3. Duties of a Responsible Entity

  4. Duties of Registrable Superannuation Entities

  5. Duties of Trustees of Self-Managed Superannuation Funds

  6. Duties of Insurance Entities

  7. Duties of Authorised Deposit-taking Institutions

  8. Duties of Entities that Provide Advice

  9. Duties of Australian Financial Services Licensees


PART C – GENERAL CONDUCT OBLIGATIONS IMPOSED ON ANY ENTITY THAT PROVIDES FINANCIAL SERVICES

  1. Obligation of good faith

  2. Misleading or Deceptive Conduct

  3. Unconscionable Conduct

  4. Unfair contract terms

  5. Anti-Competitive Conduct


PART D – OBLIGATIONS RELATING TO THE USE AND PROTECTION OF CUSTOMER INFORMATION

  1. Collection, Use and Disclosure of Personal Information

  2. Cyber Security Obligations


PART E – CONTEMPORARY DEVELOPMENTS IN MANAGING CONDUCT RISK AND REMEDIATION

  1. The Role of Behavioural Insights and Statistics in a Regulatory Context

  2. ASIC Guidance Relating to Remediation Programs

  3. Recommendations of Financial System Inquiry