Financial Services Law And Compliance In Australia

Author : Gail Pearson
Publisher : Unknown
Page : 572 pages
File Size : 47,6 Mb
Release : 2009
Category : Banking law
ISBN : 1139111922

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Financial Services Law and Compliance in Australia by Gail Pearson Pdf

"'Financial services' is the fastest growing sector of the economy and has profound implications for individuals, corporations and government. Following extensive review in the last part of the twentieth century, Australia has now put in place an overarching system for regulating all financial services, replacing a system based on separate regulation of products in individual industries. Financial Services Law and Compliance in Australia provides a comprehensive account of the new regulatory structure and a detailed analysis of the new 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 book is an essential resource for those working in, and advising on, financial services, students and those needing to understand the new regime as a whole."--Provided by publisher.

Author : Gail Pearson
Publisher : Unknown
Page : 572 pages
File Size : 42,6 Mb
Release : 2009
Category : Banking law
ISBN : 1283298279

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Financial Services Law and Compliance in Australia by Gail Pearson Pdf

"'Financial services' is the fastest growing sector of the economy and has profound implications for individuals, corporations and government. Following extensive review in the last part of the twentieth century, Australia has now put in place an overarching system for regulating all financial services, replacing a system based on separate regulation of products in individual industries. Financial Services Law and Compliance in Australia provides a comprehensive account of the new regulatory structure and a detailed analysis of the new 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 book is an essential resource for those working in, and advising on, financial services, students and those needing to understand the new regime as a whole."--Provided by publisher.

Author : Gail Pearson
Publisher : Cambridge University Press
Page : 629 pages
File Size : 41,5 Mb
Release : 2009-03-30
Category : Law
ISBN : 9781139475891

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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 : Robert Baxt,Ashley Black,Pamela F. Hanrahan
Publisher : Unknown
Page : 0 pages
File Size : 48,5 Mb
Release : 2016-12-05
Category : Financial services industry
ISBN : 0409343064

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

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 2016Austin & Ramsay, Ford, Austin & Ramsay's Principles of Corporations Law, 2014, 16th editionFarrar & Hanrahan, Corporate Governance, 2016

Author : Australian Law Reform Commission
Publisher : Unknown
Page : 0 pages
File Size : 54,6 Mb
Release : 2023-06-22
Category : Electronic
ISBN : 064535015X

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Financial Services Legislation by Australian Law Reform Commission Pdf

Author : Angelique Nadia Sweetman McInnes
Publisher : Routledge
Page : 350 pages
File Size : 40,5 Mb
Release : 2019-08-20
Category : Business & Economics
ISBN : 9780429622441

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The Regulation of Financial Planning in Australia by Angelique Nadia Sweetman McInnes Pdf

This book investigates the legitimacy of the current Australian Financial Services Licensee-Authorised Representative (AFSL-AR) licensing model, as specified in the Commonwealth Corporations Act 2001. The book rectifies the deficiency in scholarly attention to this matter by developing a new conceptualised framework for the financial planning discipline. It takes into account theories in agency, legislation, legitimacy and the independent individual regulatory regimes in other professions; thereafter integrating this framework with the financial planning theory to examine the legitimacy, or what was found to be the illegitimacy of licensing advisers via multiple third party conflicted commercially oriented licensees. This book makes a very useful reference to understanding financial planning licencing model in Australia.

Author : Mr.T. M. C. Asser
Publisher : International Monetary Fund
Page : 200 pages
File Size : 44,8 Mb
Release : 2001-04-18
Category : Business & Economics
ISBN : 1557759723

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Legal Aspects of Regulatory Treatment of Banks in Distress by Mr.T. M. C. Asser Pdf

This book analyzes and compares the laws of selected industrial countries that are representative of the different approaches to the treatment of banks in distress. It addresses only those banking and economic policy issues that are required for a proper understanding of the banking law or the legal strategies, procedures, and practices that have evolved in the treatment of banking problems. The book does not cover international aspects of bank insolvency, but rather has a domestic focus, given that bank regulation and supervision are still largely a national endeavor.

Author : Sheridan, Iain
Publisher : Edward Elgar Publishing
Page : 384 pages
File Size : 55,6 Mb
Release : 2022-02-15
Category : Law
ISBN : 9781802205411

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Financial Regulation and Technology by Sheridan, Iain Pdf

This important book analyses recurring issues within financial services regulation relevant to the use of technology, at a time when competition is moving towards greater use of technology in the financial services sector. Iain Sheridan assumes no advanced knowledge of computers and related technology topics, but where necessary encapsulates the essential aspects to offer a comprehensive yet accessible guide to the regulation of finance and technology.

Author : Annie Mills,Peter Haines
Publisher : John Wiley & Sons
Page : 400 pages
File Size : 52,6 Mb
Release : 2015-10-08
Category : Business & Economics
ISBN : 9781118906194

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Essential Strategies for Financial Services Compliance by Annie Mills,Peter Haines Pdf

A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

Author : Sheelagh McCracken,Anna Everett
Publisher : Unknown
Page : 0 pages
File Size : 54,7 Mb
Release : 2009
Category : Banking law
ISBN : 0455224676

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Everett and McCracken's Banking and Financial Institutions Law by Sheelagh McCracken,Anna Everett Pdf

Provides a comprehensive legal analysis of the Australian finance sector, covering not only the business of banking, payment instruments and the taking of security, but also the operation of the financial markets themselves, the instruments traded on them and the regulatory and fiscal framework which governs them.

Author : Peter Stephen Bruce Hutley,Peter A. Russell
Publisher : Unknown
Page : 140 pages
File Size : 54,7 Mb
Release : 2005-01-01
Category : Financial institutions
ISBN : 0409321923

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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 : Patrick Callioni
Publisher : Global Professional Publishing
Page : 228 pages
File Size : 47,5 Mb
Release : 2008
Category : Corporate governance
ISBN : UCSC:32106019851085

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Compliance and Regulation in the International Financial Services Industry by Patrick Callioni Pdf

This book provides detailed guidance for those responsible for designing and applying compliance regimes in companies.

Author : Australian Law Reform Commission
Publisher : Unknown
Page : 0 pages
File Size : 41,7 Mb
Release : 2023-06-22
Category : Electronic
ISBN : 0645350141

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ALRC Report 139: Financial Services Legislation Interim Report C by Australian Law Reform Commission Pdf

Author : Sheelagh McCracken,Joanna Bird,John Stumbles,Greg Tolhurst
Publisher : Unknown
Page : 863 pages
File Size : 42,5 Mb
Release : 2013
Category : Banking law
ISBN : OCLC:1003266334

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Everett & McCracken's Banking and Financial Institutions Law by Sheelagh McCracken,Joanna Bird,John Stumbles,Greg Tolhurst Pdf

Everett & McCracken's Banking and Financial Institutions Law 8th Edition follows the earlier editions in providing a comprehensive legal analysis of the Australian financial sector. Over the past twenty-five years this work has chronicled the legal development of the sector, offering broad coverage of the legal concepts and principles which typically arise in banking and financing transactions.

Author : Alan L. Tyree
Publisher : Unknown
Page : 599 pages
File Size : 45,8 Mb
Release : 2014
Category : Banking law
ISBN : 0409337331

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Banking Law in Australia by Alan L. Tyree Pdf

Alan Tyree's Banking Law in Australia is a clear and concise commentary on the history, current practice and future directions of banking law in Australia together with a discussion of relevant case law, legislation and government activity. The carefully crafted commentary engages and informs students and practitioners and brings this topic to life. New material in this edition includes an expanded discussion of regulation and the Personal Property Securities Act 2009. Important new cases include: Andrews v ANZ Banking Group [2012] HCA 30; Paciocco v ANZ Banking Group [2014] FCA 35; Australian Financial Services and Leasing Pty Ltd v Hills Industries Ltd [2014] HCA 14 This review was first published in ETHOS oÂeÂ" ACT Law Society Journal Issue 235 - March 2015