Understanding key legal issues: The role of ASIC

This book provides you with a concise and practical guide to our corporate regulator, the Australian Securities and Investments Commission (ASIC). The role of ASIC has expanded significantly following the Banking Royal Commission, as corporations are under even closer scrutiny, particularly when it comes to compliance for financial services and markets and the obligations placed on Australian Financial Services Licensees (AFSLs).

Key topics covered in this book include:

• Introduction to ASIC and how it is structured
• ASIC’s supervisory role
• ASIC’s investigation and information-gathering powers
• ASIC’s role as litigator and dealing with regulatory breaches
• Unconscionable conduct and consumer protection in relation to financial services
• ASIC’s expanded role following the Banking Royal Commission

This book is available in both print and e-book format and is a valuable addition for anyone dealing with the corporate regulator, in particular directors, officers, company secretaries and AFSLs.