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Understanding the reforms to the system of licensing and disclosure contained in the Financial Services Reform Act is essential to a deeper appreciation of the evolution of financial services in Australia. Building on the 2nd edition, this clear and concise text is an essential starting point for those wishing to understand the significant changes to the Financial Services industry, and assists in translating theory into practice. A new chapter on compliance has been included to aid financial services licensees and compliance managers with their new obligations. The 3rd edition also provides a highly practical, plain English guide to the legislation, as well as summarising ASIC's policy statements. Disclosure obligations, exemption, misconduct, enforcement and penalties are discussed. Crucial definitions, key compliance requirements and information resources are also included.
Guide to the legislation and issues surrounding the Financial Services Reform Act 2001 for those working in the Financial Services Industry. Outlines the legislation governing the way that financial products and services are bought and sold. Includes explanations of the intent of the Act, the main transitional provisions and a summary of ASIC's policy statements. Includes appendices and index.
The accompanying CD contains the key documents which lay behind the development of the Financial Services Reform Bill. These include "The Wallis Report", also known as the Financial Services Inquiry, Treasury, 1997. Corporate Law Economic Reform Program Policy Paper No.6, "Financial Markets and Investment Products", Treasury, 1997. "Financial Products, Service Providers and Markets, an Integrated Framework", Treasury, 1999, "The Commentary to the Draft FSRB Treasury 2000", Minister for Financial Services and Regulation, 2000, Speech, Minister for Financial Services and Regulation, Hon. Joe Hockey, MP, to CEDA, 2000, "Report on the Draft Financial Services Reform Bill", Parliamentary Joint Statutory Committee on Corporations and Securities, 2000. (CD cover).
The proposals contained in the paper respond to concerns raised by the community with the Government relating to aspects of the practical operation of the changes brought about by the Financial Services Reform Act 2001. The paper outlines a series of proposals aimed at addressing these concerns.