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Financial Markets Conduct Regulation: A Practitioner’s Guide (eBook)

Financial Markets Conduct Regulation: A Practitioner’s Guide (eBook)

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

Available Formats

Format ISBN Price
eBook 9781927248515 $184.00
book 9781927248003 $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: ePub

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

Description

IMPORTANT NOTICE:
Please choose your device carefully and only download your eBook to the device on which you intend to read it. eBooks cannot be moved from one device to another and are only compatible with the following software:

 

PC Users: Adobe Digital Editions
iPad or iPhone: Bluefire Reader

Not compatible with Mac OS X operating systems
Not compatible with MacBook Air, Kobo eReader, and Microsoft Surface

 

* eBooks will be fulfilled in one to two business days.

 

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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Pricing Information

$184.00AUD

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