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An Introduction to the Financial Services Reform Act 2001

Banking / Finance

An Introduction to the Financial Services Reform Act 2001

Name: An Introduction to the Financial Services Reform Act 2001
Brand: LexisNexis Australia
SKU: 9780409321920
Price: 561.60 HKD
Availability: OutOfStock
Author: Hutley, P S B; Russell, P A
ISBN: 9780409321920

Edited by Hutley, P S B · Russell, P A

LexisNexis Australia February 2005

Specifications

ISBN-13: 9780409321920
Publisher: LexisNexis Australia
Publication: February 2005
Format: Paperback
Jurisdiction: Australia ? Countri(es) for reference only

Details

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.

* Retail and Wholesale Clients
* Licensing
* Disclosure
* Other Conduct Obligations
* Exemptions
* Misconduct
* Enforcement and Penalties
* Practical Steps to Applying for a License - Some Licensing Tools
* Compliance