Financial Markets Conduct Regulation: A Practitioner’s Guide

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.

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ISBN/ISSN: 9781927248003
Release Date: September 01, 2014
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ISBN/ISSN: 9781927248515
Release Date: December 01, 2014
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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.

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Table of contents


  1. Purpose and principles of securities regulation



  • Regulation of the Primary Market



  1. Introduction

  2. Types of Financial Product

  3. {Derivatives – specific issues - }

  4. Disclosure

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

  6. Governance

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

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



  • Regulation of the Secondary Market



  1. Introduction to Secondary Marget Regulation

  2. Continuous Disclosure

  3. Insider Trading

  4. Market Manipulation

  5. Other Secondary markets disclosure requirements

  6. Licensing of financial products markets

  7. Takeover regulation in New Zealand



  • Licensing of Market Services and Enforcement



  1. Licensing and Other Regulation of Market Services

  2. Enforcement and Liability


  • General Provisions



  1. The Fair Dealing Rules

  2. Keeping accounts, financial reporting and audit

  3. Transitional provisions



  • Financial Intermediaries



  1. Financial Adviser Regulation

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