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Book Cover
Author Naylor, Melissa, 1973- author

Title Law of investments and financial markets / Melissa Naylor ; compiled by Elizabeth Shi
Edition Second edition
Published Pyrmont, NSW : Thomson Reuters (Professional) Australia Limited, 2016


Location Call no. Vol. Availability
 MELB  KN 304 K1 Nay/Loi 2016  AVAILABLE
Description xxiv, 307 pages ; 25 cm
Contents The nature of investing in a company -- Members' rights -- Funding company operations -- Corporate governance -- Corporate insolvency -- Managed investment schemes -- Introduction to investments and the law -- Common law framework for market participants -- Regulation of the financial services industry: Corporation Act, chapter 7 -- Conduct and disclosure in the investment advisory process -- Investor protection and dispute resolution -- Insider trading: using inside information
Summary Law of Investments and Financial Markets examines the various areas of law that impact on investors and those working in industries associated with investment products. It covers Chapter 7 of the Corporations Act 2001 (Cth) and the requirements associated with licensing including the legal obligations and compliance requirements of licensees and their representatives, disclosure, dispute resolution and investor protection. This edition includes discussion of the latest amendments and reform process, as well as relevant regulatory guides and recent case law. Various forms of investment are considered, including financial services and products, managed investments, real property and direct investments into companies. The main sources of law relating to these areas of study include: legislation such as the Corporations Act 2001 (Cth); the Australian Securities and Investments Commission Act 2001 (Cth); the Competition and Consumer Act 2010 (Cth); the common law, including fiduciary duties as well as contract law and the tort of negligence; and administrative actions, by the Australian Securities and Investments Commission (ASIC) and the Australian Taxation Office (ATO) through regulatory guides and rulings. This book provides most of the guidance that a serious investor may need on how the current law impacts on their particular investments. It is also designed to assist investment advisers to quickly and accurately find the appropriate law that relates to their requirements. Tertiary students of financial planning and finance law, as well as financial planners, accountants and lawyers practising in investment law will also find the book useful
Notes Elizabeth Shi is a Lecturer in Law at the Graduate School of Business and Law at RMIT University
Bibliography Includes bibliographical references and index
Notes Elizabeth Shi is a Lecturer in Law at the Graduate School of Business and Law at RMIT University
Subject Capital market -- Law and legislation -- Australia.
Capital market -- Australia.
Investments -- Law and legislation -- Australia.
Investments -- Australia.
Author Shi, Elizabeth, compiler
LC no. 2017430693
ISBN 0455237573 (paperback)
9780455237572 (paperback)