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Financial Markets Conduct Regulation: A Practitioner’s Guide

Financial Markets Conduct Regulation: A Practitioner’s Guide

Stace, V; Keeper, T; Gibbons, T; Holland, C; Starrenberg, N, 2014

Available Formats

Format ISBN Price
book 9781927248003 $184.00
eBook 9781927248515 $184.00
Red Book FMCRRED0SU $184.00

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.

 

Format: Paperback


This title is also available in Practitioner Book Online format.
PBO ISBN: ONLB1SRNSU

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.

Author

Authored by five experts in the field, Victoria Stace, Thomas Gibbons, Chris Holland, Trish Keeper, and Nathanael Starrenberg.

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

 

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