Summary
This new work identifies and explains the basis on which individual officers are made accountable for the management and conduct of the company’s funds management operations.
The text discusses these duties with reference to registered managed investment schemes, wholesale unit trusts and investment pools, public offer superannuation entities, investment linked life insurance, investment companies, and individual investment mandates.
Part I: Funds management law and regulation
Chapter 1 - Introduction
Chapter 2 - Funds management and the general law
Chapter 3 - Financial services regulation
Chapter 4 - Product regulation and prudential supervision
Part II: Officers’ duties and liabilities
Chapter 5 - Officers
Chapter 6 - The pattern of officers’ accountability
Chapter 7 - Officers’ duties of care and effort
Chapter 8 - Officers’ duties governing the exercise of powers and discretions
Chapter 9 - Conflicts of interest and collateral advantage
Chapter 10 - Disclosure
Chapter 11 - Liability for participation in the company’s wrongdoing
Chapter 12 - Directors’ liability for debts wrongfully incurred
Part III: Enforcement
Chapter 13 - Public law sanctions
Chapter 14 - Private remedies
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