Understanding key legal issues : the role of ASIC / Wolters Kluwer.
2022
N303.95.K1 UND 2022
Available at Brisbane
Items
Details
Title
Understanding key legal issues : the role of ASIC / Wolters Kluwer.
Other Title
The role of Australian securities and investments commission (ASIC)
Edition
1st edition
ISBN
9781922847027 paperback
Imprint
Sydney : CCH, 2022.
Copyright
©2022
Language
English
Description
xvi, 147 pages ; 24 cm
Call Number
N303.95.K1 UND 2022
Summary
This book provides you with a concise and practical guide to our corporate regulator, the Australian Securities and Investments Commission (ASIC). The role of ASIC has expanded significantly following the Banking Royal Commission, as corporations are under even closer scrutiny, particularly when it comes to compliance for financial services and markets and the obligations placed on Australian Financial Services Licensees (AFSLs). Key topics covered in this book include: Introduction to ASIC and how it is structured ; ASIC's supervisory role ; ASIC's investigation and information-gathering powers ; ASIC's role as litigator and dealing with regulatory breaches ; Unconscionable conduct and consumer protection in relation to financial services ; ASIC's expanded role following the Banking Royal Commission. - Publisher's website.
Bibliography, etc. Note
Includes index and bibliographical references.
Formatted Contents Note
1. Introduction to the Austrlian Securities and Investments Commission (ASIC)
2. Divisions of ASIC
3. ASIC discretions in performing its role
4. ASIC's other roles
5. ASIC's supervisory cost recovery role
6. ASIC's role in regulating unconscionable conduct and consumer protection in financial services
7. ASIC's role in investigations and information gathering
8. Miscellaneous provisions of the ASIC Act
9. Transitional provisions of the ASIC Act
10. ASIC's role in international activities.
2. Divisions of ASIC
3. ASIC discretions in performing its role
4. ASIC's other roles
5. ASIC's supervisory cost recovery role
6. ASIC's role in regulating unconscionable conduct and consumer protection in financial services
7. ASIC's role in investigations and information gathering
8. Miscellaneous provisions of the ASIC Act
9. Transitional provisions of the ASIC Act
10. ASIC's role in international activities.
Added Corporate Author
CCH Australia Limited, author.
Record Appears in
General research collection
Introductory texts
Introductory texts