Securities and financial services law / Ashley Black, Pamela Hanrahan.

St. Leonards, N.S.W. : LexisNexis Australia, 2026.

11th edition

203185

Investments -- Law and legislation -- Australia.

Financial services industry -- Law and legislation -- Australia.

Securities -- Law and legislation -- Australia.

Stock Exchanges -- Law and legislation -- Australia.

Part 1: Introduction

1. Regulating securities and markets

2. Administration of the securities and financial services laws

3. Defining financial products

Part 2: Issuers

4. Offering securities under Ch 6D

5. Offering financial products under Pt 7.9

6. Continuous disclosure

7. Liability for defective disclosure

8. Investor claims for defective disclosure

Part 3: Markets

9. Market infrastructure providers

Part 4: Intermediaries

10. Australian financial services licensing

11. Financial services licensees and their clients

Part 5: Market conduct

12. Consumer protection

13. Market misconduct, prohibited conduct and short selling

14. Insider trading.

Securities and Financial Services Law deals comprehensively with the regulation of Australian securities and related markets and the conduct of entities – issuers, intermediaries, market operators and infrastructure providers, investors and traders – in those markets. It establishes a clear conceptual framework for understanding how the complex rules in and under the Corporations Act 2001 (Cth) and the Australian Securities and Investments Commission Act 2001 (Cth) affect Australia’s capital formation and flows. This 11th edition provides updated commentary incorporating key developments in legislation and case law affecting securities and financial product offers, continuous disclosure, market infrastructure, the provision of intermediary and advisory services, and trading in secondary markets. Features: Describes the conceptual underpinnings of securities and markets regulation, the constitutional foundation and governmental administration of Australia’s securities and financial services laws, and the scope of regulation ; Covers the regulation of commercial and financial sector entities that create and issue financial instruments into the primary markets ; Discusses the law and regulation of market operators and other providers of market infrastructure, including most notably the ASX and its various subsidiaries, which between them operate the ASX’s primary, secondary and derivative market services and provide clearing and settlement (CS) facilities for those and other markets ; Looks at market intermediaries particularly the licensed financial services providers who act as brokers, dealers or advisers in the securities markets ; Deals with aspects of the regulation of markets for securities and other financial products. - Publisher's website.

Previous edition 2021.

Includes bibliographical references and index.

9780409362961

lxxvii, 805 pages ; 24 cm