Securities and Financial Services Law 11th ed

Australia Title

Securities and Financial Services Law deals comprehensively with the regulation of Australian securities and related markets and the conduct of entities – issuers, intermediaries, market operators and infrastructure providers, investors and traders – in those markets. It establishes a clear conceptual framework for understanding how the complex rules in and under the Corporations Act 2001 (Cth) and the Australian Securities and Investments Commission Act 2001 (Cth) affect Australia’s capital formation and flows. This 11th edition provides updated commentary incorporating key developments in legislation and case law affecting securities and financial product offers, continuous disclosure, market infrastructure, the provision of intermediary and advisory services, and trading in secondary markets.

Features

• Describes the conceptual underpinnings of securities and markets regulation, the constitutional foundation and governmental administration of Australia’s securities and financial services laws, and the scope of regulation
• Covers the regulation of commercial and financial sector entities that create and issue financial instruments into the primary markets
• Discusses the law and regulation of market operators and other providers of market infrastructure, including most notably the ASX and its various subsidiaries, which between them operate the ASX’s primary, secondary and derivative market services and provide clearing and settlement (CS) facilities for those and other markets
• Looks at market intermediaries particularly the licensed financial services providers who act as brokers, dealers or advisers in the securities markets
• Deals with aspects of the regulation of markets for securities and other financial products

table of content

Part 1 – Introduction

Part 2 – Issuers

Part 3 – Markets

Part 4 – Intermediaries

Part 5 – Market Conduct