Financial Services Law And Compliance In Australia
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Financial Services Law And Compliance In Australia
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Author : Gail Pearson
language : en
Publisher:
Release Date : 2009
Financial Services Law And Compliance In Australia written by Gail Pearson and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Banking law categories.
"'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.
Financial Services Law And Compliance In Australia
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Author : Gail Pearson
language : en
Publisher: Cambridge University Press
Release Date : 2009-03-18
Financial Services Law And Compliance In Australia written by Gail Pearson and has been published by Cambridge University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009-03-18 with Business & Economics categories.
This book provides an account of the overarching system for regulating all financial services in Australia, including detailed analysis of the legislative framework. The book is essential for those working in financial services, for students and for those needing to understand the regime as a whole.
Securities And Financial Services Law 10th Edition
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Author : A BLACK; P HANRAHAN.
language : en
Publisher:
Release Date : 2021
Securities And Financial Services Law 10th Edition written by A BLACK; P HANRAHAN. and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021 with categories.
Financial Services Legislation
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Author : Australian Law Reform Commission
language : en
Publisher:
Release Date : 2023-06-22
Financial Services Legislation written by Australian Law Reform Commission and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-06-22 with categories.
Compliance And Regulation In The International Financial Services Industry
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Author : Patrick Callioni
language : en
Publisher: Global Professional Publishing
Release Date : 2008
Compliance And Regulation In The International Financial Services Industry written by Patrick Callioni and has been published by Global Professional Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Corporate governance categories.
This book provides detailed guidance for those responsible for designing and applying compliance regimes in companies.
The Regulation Of Financial Planning In Australia
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Author : Angelique Nadia Sweetman McInnes
language : en
Publisher: Routledge
Release Date : 2019-08-20
The Regulation Of Financial Planning In Australia written by Angelique Nadia Sweetman McInnes and has been published by Routledge this book supported file pdf, txt, epub, kindle and other format this book has been release on 2019-08-20 with Business & Economics categories.
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.
Essential Strategies For Financial Services Compliance
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Author : Annie Mills
language : en
Publisher: John Wiley & Sons
Release Date : 2015-10-08
Essential Strategies For Financial Services Compliance written by Annie Mills and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-10-08 with Business & Economics categories.
A fully updated edition of the definitive guide to financialregulation In recent years, not only has the compliance field become firmlyestablished, but it has seen staggering growth, thanks tonever-ending changes in the regulatory environment. As regulationincreases still further, the demand for clear guidance onnavigating daily compliance issues is greater than ever. Now in itssecond edition, the highly successful Essential Strategies forFinancial Services Compliance has been updated with the latestcompliance strategies and regulatory information, making itindispensable for compliance officers, legal firms, and anyone elseworking with the financial services compliance function. Non-compliance represents a significant material risk for anyfinancial services firm that fails to understand and appropriatelyapply regulatory standards. This Second Edition of EssentialStrategies for Financial Services Compliance makes it easy todigest complex information on the regulatory framework. But thisbook is far from solely theoretical. A balanced approach means thatboth the concepts and their application are within reach.Annie Mills and Peter Haines deliver solid advice that can beapplied on a day-to-day basis to manage any compliance issues thatmay arise. Read this book to: Understand the conceptual basis of compliance and the currentregulatory environment applicable to the financial servicesindustry Quickly and thoroughly learn the accepted best practices foreveryday compliance Get up to date information on the current financial regulatoryenvironment with this new edition Reference detailed advice as issues arise in day-to-dayoperations This update to the popular first edition of EssentialStrategies for Financial Services Compliance will helpeliminate non-compliance risk and ensure that your firm is entirelycurrent on its ability to navigate the maze of financial servicesregulation.
Legal Aspects Of Regulatory Treatment Of Banks In Distress
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Author : Mr.T. M. C. Asser
language : en
Publisher: International Monetary Fund
Release Date : 2001-04-18
Legal Aspects Of Regulatory Treatment Of Banks In Distress written by Mr.T. M. C. Asser and has been published by International Monetary Fund this book supported file pdf, txt, epub, kindle and other format this book has been release on 2001-04-18 with Business & Economics categories.
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.
An Introduction To The Financial Services Reform Act 2001
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Author : Peter Stephen Bruce Hutley
language : en
Publisher:
Release Date : 2005-01-01
An Introduction To The Financial Services Reform Act 2001 written by Peter Stephen Bruce Hutley and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2005-01-01 with Financial institutions categories.
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.
Financial Regulation And Technology
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Author : Sheridan, Iain
language : en
Publisher: Edward Elgar Publishing
Release Date : 2022-02-15
Financial Regulation And Technology written by Sheridan, Iain and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-02-15 with Law categories.
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.