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This book is now Out of Print.
A new edition has been published, the details can be seen here:
Securities and Financial Services Law 10th ed isbn 9780409352795

Securities and Financial Services Law 9th ed

ISBN13: 9780409343069
New Edition ISBN: 9780409352795
Previous Edition ISBN: 9780409330281
Published: October 2016
Publisher: LexisNexis Australia
Country of Publication: Australia
Format: Paperback
Price: Out of print

Now in its ninth edition, Securities and Financial Services Law is the leading legal analysis of securities and financial services law and regulation in Australia.

The book provides a comprehensive and practical treatment of the relevant parts of the Corporations Act and the Australian Securities and Investments Commission (ASIC) Act, the Australian Securities Exchange (ASX) Listing and ASIC Market Integrity Rules, ASIC policy, the market competition and Future of Financial Advice reforms, as well as reference to relevant case law.

An introductory chapter presents an overview of the development and shape of securities regulation in Australia. The balance of the work is structured into parts focusing on securities and financial product issuers, including continuous disclosure requirements, investor claims for defective disclosure and securities class actions; markets; intermediaries; and market conduct regulation.

Written by leading experts in the field, this book is a valuable resource for law and business students, legal practitioners, securities industry professionals, bankers and accountants.


  • High level work on advanced corporations law area
  • Written by leading experts in the field
  • Comprehensive treatment of financial services regulation in a dynamic market

Other Jurisdictions , Banking and Finance, Australia
Part 1 Introduction
Chapter 1 Regulating Securities and Markets
Chapter 2 Administration of the Securities and Financial Services Laws
Chapter 3 The Statutory Definitions

Part 2 Issuers
Chapter 4 Regulation of Securities Offerings
Chapter 5 Conducting a Regulated Securities Offer
Chapter 6 Offering Financial Products other than Securities
Chapter 7 Continuous Disclosure
Chapter 8 liability for defective disclosure
Chapter 9 Investor Claims for Defective Disclosure

Part 3 Markets
Chapter 10 Licensing of Market Providers
Chapter 11 Regulation of Market Participants in the Securities Markets
Chapter 12 Enforceability of the ASX Listing Rules

Part 4 Intermediaries
Chapter 13 Licensing Financial Intermediaries
Chapter 14 The Relationship Between Financial Services Licensees and Their Clients

Part 5 Market Conduct
Chapter 15 Mergers and Acquisitions
Chapter 16 Market Misconduct, Prohibited Conduct and Short Selling
Chapter 17 Insider Trading