An Introduction To The Financial Services Reform Act 2001

Author : Peter Stephen Bruce Hutley,Peter A. Russell
Publisher : Unknown
Page : 140 pages
File Size : 47,7 Mb
Release : 2005-01-01
Category : Financial institutions
ISBN : 0409321923

Get Book

An Introduction to the Financial Services Reform Act 2001 by Peter Stephen Bruce Hutley,Peter A. Russell Pdf

Understanding the reforms to the system of licensing and disclosure contained in the Financial Services Reform Act is essential to a deeper appreciation of the evolution of financial services in Australia. Building on the 2nd edition, this clear and concise text is an essential starting point for those wishing to understand the significant changes to the Financial Services industry, and assists in translating theory into practice. A new chapter on compliance has been included to aid financial services licensees and compliance managers with their new obligations. The 3rd edition also provides a highly practical, plain English guide to the legislation, as well as summarising ASIC's policy statements. Disclosure obligations, exemption, misconduct, enforcement and penalties are discussed. Crucial definitions, key compliance requirements and information resources are also included.

Author : Peter Stephen Bruce Hutley,Alan E. Bennett,Peter A. Russell
Publisher : Unknown
Page : 98 pages
File Size : 47,5 Mb
Release : 2002
Category : Financial institutions
ISBN : 0409318531

Get Book

An Introduction to the Financial Services Reform Act 2001 by Peter Stephen Bruce Hutley,Alan E. Bennett,Peter A. Russell Pdf

Guide to the legislation and issues surrounding the Financial Services Reform Act 2001 for those working in the Financial Services Industry. Outlines the legislation governing the way that financial products and services are bought and sold. Includes explanations of the intent of the Act, the main transitional provisions and a summary of ASIC's policy statements. Includes appendices and index.

Author : Argyle Partnership Lawyers Staff
Publisher : Unknown
Page : 92 pages
File Size : 50,7 Mb
Release : 2002
Category : Electronic
ISBN : 0958061505

Get Book

Financial Services Reform Implementation Kit by Argyle Partnership Lawyers Staff Pdf

Author : Robert Baxt,Ashley Black,Pamela F. Hanrahan
Publisher : Butterworth-Heinemann
Page : 567 pages
File Size : 49,7 Mb
Release : 2003-01-01
Category : Financial services industry
ISBN : 0409315974

Get Book

Securities and Financial Services Law by Robert Baxt,Ashley Black,Pamela F. Hanrahan Pdf

Sixth edition of an Australian analysis of the Corporations Act and the operation of the Australian Stock Exchange Business and Listing Rules, first published in 1977. Provides an in-depth, practical overview of the law as it applies to the financial services industry, revised to include major reforms introduced by the Financial Services Reform Act 2001. Topics covered include the regulatory system for securities, regulation of offerings of securities, mergers and acquisitions, licensing of market providers, stock exchanges' internal regulation, compensation regimes for financial markets, licensing of financial intermediaries and insider trading. Includes table of cases, table of legislation and other rules, abbreviations and index. Authors Baxt and Black are partners of leading Australian legal firms. Hanrahan is Deputy Director at the Centre for Corporate Law and Securities Regulation at the University of Melbourne.

Author : Australian Law Reform Commission
Publisher : Unknown
Page : 0 pages
File Size : 55,6 Mb
Release : 2023-06-22
Category : Electronic
ISBN : 064535015X

Get Book

Financial Services Legislation by Australian Law Reform Commission Pdf

Author : Thomson Legal & Regulatory - Asia Pacific
Publisher : Lawbook Company
Page : 630 pages
File Size : 53,7 Mb
Release : 2001
Category : Banking law
ISBN : 045521817X

Get Book

Background to the Financial Sector Reform Legislation Scheme by Thomson Legal & Regulatory - Asia Pacific Pdf

The accompanying CD contains the key documents which lay behind the development of the Financial Services Reform Bill. These include "The Wallis Report", also known as the Financial Services Inquiry, Treasury, 1997. Corporate Law Economic Reform Program Policy Paper No.6, "Financial Markets and Investment Products", Treasury, 1997. "Financial Products, Service Providers and Markets, an Integrated Framework", Treasury, 1999, "The Commentary to the Draft FSRB Treasury 2000", Minister for Financial Services and Regulation, 2000, Speech, Minister for Financial Services and Regulation, Hon. Joe Hockey, MP, to CEDA, 2000, "Report on the Draft Financial Services Reform Bill", Parliamentary Joint Statutory Committee on Corporations and Securities, 2000. (CD cover).

Author : B. A. Burnett
Publisher : Unknown
Page : 262 pages
File Size : 48,6 Mb
Release : 2002
Category : Corporation law
ISBN : 0958637474

Get Book

A Resource Book in Company Law by B. A. Burnett Pdf

This book looks at company law in Australia. With the "political and constitutional uncertainty surrounding the future of company law regulation at the end of last year was overcome with the introduction of the Corporations Act 2001 in July 2001. 2001 also saw the introduction of the Financial Services Reform Act, the scope of which is outside the ambit of this book. However that Act repeals and replaces chapters 7 and 8 of the Corporations Act from March 2002, with the result that Part 7.10 on Market Misconduct and other Prohibited Conduct, including Insider Trading, has new section numbers." - page iii.

Author : James Leow
Publisher : CCH Australia Limited
Page : 1329 pages
File Size : 55,9 Mb
Release : 2010
Category : Pensions
ISBN : 9781921593949

Get Book

Australian Master Superannuation Guide 2010/11 by James Leow Pdf

Covers all aspects of superannuation fund management, operations and administration.

Author : Graeme Berwick
Publisher : QR Consulting
Page : 386 pages
File Size : 45,8 Mb
Release : 2007
Category : Business insurance
ISBN : 9780957886612

Get Book

The Executives Guide to Insurance and Risk Management by Graeme Berwick Pdf

Author : Anonim
Publisher : CCH Australia Limited
Page : 1209 pages
File Size : 49,6 Mb
Release : 2009
Category : Estate planning
ISBN : 9781921593857

Get Book

Australian Master Financial Planning Guide 2010/11 by Anonim Pdf

Covers all the fundamental areas of financial planning with practical examples and case studies.

Author : OECD
Publisher : OECD Publishing
Page : 238 pages
File Size : 45,9 Mb
Release : 2003-03-03
Category : Electronic
ISBN : 9789264100763

Get Book

OECD Economic Surveys: Australia 2003 by OECD Pdf

This 2003 edition of OECD's Economic Survey of Australia examines recent economic developements, policies and prospects. The special chapter covers migration.

Author : Belle Qi Guo
Publisher : Springer Nature
Page : 229 pages
File Size : 49,5 Mb
Release : 2023-11-05
Category : Law
ISBN : 9789819964765

Get Book

Continuous Disclosure of Chinese Cross-Border Listed Companies in Australia by Belle Qi Guo Pdf

This book studies an overarching question of the challenges faced by Chinese lawmakers, Chinese listed companies, Chinese companies’ external advisers, and securities regulators in dealing with Chinese cross-border listed companies’ continuous disclosure in Australia, and how can these challenges be addressed. Chinese listed companies are struggling to meet the continuous disclosure requirements while listing in Australia and have even been depicted as having poor corporate governance and transparency. Many get delisted from the securities market in Australia subsequently due to non-compliance in continuous disclosure or are straight rejected from listing because of continuous disclosure compliance concerns. This book cuts in from this angle and delves deep into the overarching question through the following four sub-questions: What are the theories and policies behind the continuous disclosure regimes in Australia and China and how have they been differently implemented in the securities markets in these two countries? What are the deficiencies, at the intracompany level, contributing to Chinese cross-border listed companies’ non-compliant continuous disclosure in Australia? What are the limitations, from the perspective of external advisers’ efforts, contributing to Chinese cross-border listed companies’ non-compliant continuous disclosure in Australia? What are the difficulties, at the regulatory level, contributing to Chinese cross-border listed companies’ non-compliant continuous disclosure in Australia? In addressing these questions and putting forward corresponding reform proposals, this book takes not only legal but also historical, cultural, and political-economic factors into consideration.

Author : Gail Pearson
Publisher : Cambridge University Press
Page : 629 pages
File Size : 50,9 Mb
Release : 2009-03-30
Category : Law
ISBN : 9781139475891

Get Book

Financial Services Law and Compliance in Australia by Gail Pearson Pdf

Up until the global credit crisis in 2008, 'Financial Services' was the fastest growing sector of the Australian economy. This growth has had profound implications for individuals, corporations and government. Following extensive review in the last part of the twentieth century, Australia put in place an overarching system for regulating all financial services, replacing a system that was based on separate regulation of products in individual industries. Focusing on the implications of the new system for retail clients - 'financial citizens' - Financial Services Law and Compliance in Australia provides a comprehensive account of the regulatory structure and a detailed analysis of the legislative framework, including discussion of the new regulatory bodies, the new licensing requirements for those wishing to enter the financial services market and the new obligations for those marketing or offering financial services to the public. This is an essential resource for those working in, and advising on, financial services, for students of financial services law, and for anyone needing to understand this new regime in Australia.

Author : Julie Cassidy
Publisher : Federation Press
Page : 420 pages
File Size : 43,5 Mb
Release : 2006
Category : Law
ISBN : 1862875979

Get Book

Concise Corporations Law by Julie Cassidy Pdf

The purpose of this text is to provide a comprehensive, yet succinct, examination of the most significant areas of corporations law. Through the identification of the key elements underlying the pertinent statutory provisions, the use of a plain English writing style and simple format, the text seeks to make corporations law more accessible to those who seek to study or practise in the area of corporations law. Since the publication of the fourth edition there have been significant changes in corporations law. From a legislative perspective, important changes have also been effected through the passage of, inter alia, CLERP 9. This has impacted significantly on the law pertaining to executive officers and directors (in particular their remuneration and financial reporting) and disclosure documents.Judicially, this period has been marked by a considerable number of important cases pertaining to directors' liability arising out of, inter alia, high profile corporate collapses, including HIH and One.Tel. These cases have provided guidance as to the applicability of both statutory and equitable directors' duties, but also clarified the procedural and substantive law aspects of the penalties flowing from breaches of such duties.

Author : Anonim
Publisher : Unknown
Page : 1616 pages
File Size : 51,7 Mb
Release : 2005
Category : Annotations and citations (Law)
ISBN : STANFORD:36105134440267

Get Book

Federal Legislation Annotations by Anonim Pdf