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Financial Services Law - Seminar One
LAWS 2005 - Financial Services Law
2 Found helpful • 6 Pages • Topic Notes • Year: Pre-2021
Seminar One Main themes: - Regulation of the disclosure of product information: issue of financial products have to be accompanied with a range of disclosure documents to ensure the protection of retail consumers - Regulation of financial services licensees and authorised representatives: persons who provide financial services must hold an Australian Financial Services licence or be an authorised representative. o Licensing requirements imposed by legislation. o Number of duties are also imposed on providers - Regulation of markets: Establishment of markets only possible if Australian licence market licence is provided. o Number of duties imposed. o Provisions govern misconduct eg. Insider trading and market manipulation - Regulation of clearing and settlement facilities: establishment requires the issue of a licence. o There are a number of rules regulating the ongoing operation of clearing and settlement facilities.
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