1. Introduction -- 2. Licensing -- 3. Disclosure -- 4. Other conduct obligations -- 5. Exemptions -- 6. Misconduct -- 7. Enforcement and penalties -- 8. Transitional provisions -- 9. ASIC's approach to administering the licence provisions -- Appendix 1 General definitions -- Appendix 2 Information resources
Summary
An essential handbook for anyone who needs to grasp the key concepts of the new Financial Services Reform Act and related Regulations. Presenting a highly practical, plain English explanation of the new regulatory framework, this book is an invaluable guide to general compliance issues
An introduction to the Financial Services Reform Act 2001 (Pediatric and Adolescent Endocrinology)