We use cookies to enable digital experiences.Disable them/read more. Browse on or click to
Financial Markets Conduct Regulation: A Practitioner’s Guide - LN Red Book
What is a Red Book?
Red Books are the digital solution to your resource needs.
Red Books contain the same content as your hardcopy book, with added features and flexibility:
- -Carry your offline version of the book to lectures and Court without breaking your back
- -Search within and between publications in your Red library.
- -Highlight and annotate phrases, paragraphs and cases.
- -Available on your portable device, such as iPad or laptop
The Lexis Red app gives you a portable legal library, providing you with the content you need, when you need it.
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.
One Year Subscription Only Terms
Subscribers receive the product(s) listed on the Order Form and any Updates made available during the annual subscription period. Shipping and handling fees are not included in the annual price.
Subscribers are advised of the number of Updates that were made to the particular publication the prior year. The number of Updates may vary due to developments in the law and other publishing issues, but subscribers may use this as a rough estimate of future shipments. Subscribers may call Customer Support at 800-833-9844 for additional information.
Subscribers may cancel this subscription by: calling Customer Support at 800-833-9844; emailing customer.support@lexisnexis.com; or returning the invoice marked 'CANCEL'.
If subscribers cancel within 30 days after the product is ordered or received and return the product at their expense, then they will receive a full credit of the price for the annual subscription.
If subscribers cancel between 31 and 60 days after the invoice date and return the product at their expense, then they will receive a 5/6th credit of the price for the annual subscription. No credit will be given for cancellations more than 60 days after the invoice date. To receive any credit, subscriber must return all product(s) shipped during the year at their expense within the applicable cancellation period listed above.
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.
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