An Introduction to the Financial Services Reform Act 2001
- ISBN-10
- 0409321923
- ISBN-13
- 9780409321920
- Category
- Financial institutions
- Pages
- 140
- Language
- English
- Published
- 2005-01-01
- Authors
- Peter A. Russell, Peter Stephen Bruce Hutley
Description
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.
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