Financial Services

This work addresses the changes to financial services law and policy stemming from the passage of the Financial Services Reform Act 2001, and its effect on the Corporations Act. This development implemented stage six of the Federal Government's Corporate Law Economic Reform Program (CLERP 6) and resulted in very substantial changes to financial services regulation in Australia. The work addresses the main issues confronting the financial services industry under the financial services legislative framework, including uniform system of regulation for financial products; single licensing framework for providers of financial service; and minimum standards of conduct for dealing with retail clients including specific disclosure requirements. Relevant legislation and ASIC policy statements are included and extensively cross-referenced within the commentary. Other industry specific matters are also addressed within this work.

General Information
AuthorStewart, R; Batten, R
Subject AreaBanking & Finance
Updatesapproximately 4 updates per year; charged annually; available online.
Charging MethodAnnual
Publication Year 2002
  • Outline of Financial Services Reforms and Regulatory System
  • Financial Services Licences
  • Financial Services Disclosure
  • Issue and Sale of Financial Products
  • Rights and Remedies
  • Industry-specific Analysis including General Insurance, Life Insurance, Listed Financial Products, Banking and Finance, Managed Investment Schemes and Superannuation
  • Corporations Act and Regulations 2001 [extracts]
  • Relevant ASIC Policy Statements and FS Series ASIC Forms

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