Financial Markets Conduct Regulation: A Practitioner’s Guide - LN Red Book

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This title is a practically-focused guide to the new legislative scheme implemented under the Financial Markets Conduct Act, a legislative instrument making the largest change in New Zealand's financial markets law in the last 20 years. This title is a useful resource written by a number of recognised experts in the securities law field.

Red Titles
NZD$ 184.00
Release Date: September 01, 2014

Product description

Financial Markets Conduct Regulation: A Practitioner’s Guide provides authoritative guidance on the legislative scheme implemented under the Financial Markets Conduct Act 2013, the largest change in New Zealand’s financial markets law in the last 20 years. This comprehensive text features detailed commentary and citations, covering a wide range of topics including:

  • What is a financial product?
  • The new disclosure rules for offers
  • Fair dealing rules for financial products
  • Governance rules for superannuation and other managed investment schemes
  • Licensing of both exchanges and market participants
  • The secondary market rules including insider trading and disclosures
  • The Takeovers Code
  • Enforcement
  • Financial reporting
  • Anti-money laundering
  • Financial adviser regulation

This practical guide will be an essential resource for all those advising on or working within the reformed financial markets regime.


Featured Authors

Table of contents

1. Purpose and principles of securities regulation

Regulation of the Primary Market

2. Introduction

3. Types of Financial Product

4. {Derivatives – specific issues - }

5. Disclosure

6. Offers of financial products that do not require Part 3 disclosure

7. Governance

8. {Superannuation and KiwiSaver schemes – specific issues - }

9. Anti-Money Laundering and Countering Financing of Terrorism Act 2009

Regulation of the Secondary Market

10. Introduction to Secondary Marget Regulation

11. Continuous Disclosure

12. Insider Trading

13. Market Manipulation

14. Other Secondary markets disclosure requirements

15. Licensing of financial products markets

16. Takeover regulation in New Zealand

Licensing of Market Services and Enforcement

17. Licensing and Other Regulation of Market Services

18. Enforcement and Liability

General Provisions

19. The Fair Dealing Rules

20. Keeping accounts, financial reporting and audit

21. Transitional provisions

Financial Intermediaries

22. Financial Adviser Regulation

23. The Financial Service Providers (Registration and Dispute Resolution) Act 2008