Financial Markets Law Handbook 2018 (Book)

Financial Markets Law Handbook 2018 (Book)

Book

$97.20* + GST $108.00 RRP + GST Save: $10.80 (10%)

Date: 09/04/2018

Code: 9781988553030

Thomson Reuters, NEW ZEALAND

 

Available Formats

Format Title Date Code Price (excl. GST)
Book Company Law Handbook & Financial Markets Law Handbook 2018 (Book Bundle) 10/04/2018 9771177025332 $166.50 Add to cart
Book Financial Markets Law Handbook 2018 (Book) 09/04/2018 9781988553030 $97.20 Add to cart
eBook - ProView Financial Markets Law Handbook 2018 (eBook) 31/03/2018 9781988553047 $97.20 Add to cart
eBook - ProView Financial Markets Law Handbook 2018 (Book + eBook) 31/03/2018 42501655 $126.36 Add to cart

Description

Financial Markets Law Handbook 2018 consolidates in one volume the key legislation relevant to the areas of financial markets law.

The book starts with the core financial markets acts and regulations and orders – the Financial Markets Authority and Financial Markets Conduct.  It also includes content on financial markets supervisors, financial products transfer, futures, secret commissions, financial advising, anti-money laundering and countering financing of terrorism, financial transactions and non-deposit bank takers.  The legislation is current to 1 January 2018.

This is an essential reference for legal practitioners, accountants and financial advisers, academics and students. With handy thumb tabs, a comprehensive subject index and alphabetical list of legislation, this portable and convenient handbook ensures quick and easy access to legislation. 

Available in hardcopy, ebook and hardcopy/ebook bundle.  It is also available as a hardcopy bundle with the Company Law Handbook 2018.

  • The advantages of purchasing a legislation handbook include:
  • Completely portable and does not rely on internet availability;
  • Can have multiple pages marked and flick between them with ease;
  • Appropriate for court room or exam use;
  • Can be annotated and highlighted, then referred back to in a more accessible way than using functions online.
  • Contains history and editorial notes, not just the current consolidated version of the legislation;
  • The subject index reference is very useful and can be faster than using ctrl+F across a document;
  • The table of statues and regulations is also very useful to see where other legislation is cross-referenced.
  • Superior binding – especially when compared to printing and stapling or using plastic tube binding in an office.

All of these benefits are priced to compete with the costs of purchasing government whites or printing and binding in-house.

Table of Contents

Chapter 1 Financial Markets Authority

Financial Markets Authority Act 2011

Financial Markets Authority (Fees) Regulations 2011

Financial Markets Authority (Levies) Regulations 2012

Chapter 2 Financial Markets Conduct

Comparative Table: Former Securities Legislation to Financial Markets Conduct Act 2013

Comparative Table: Financial Markets Conduct Act 2013 to Former Securities Legislation

Financial Markets Conduct Act 2013

Financial Markets Conduct Regulations 2014

Financial Markets Conduct (Designation of Restricted Schemes) Order 2016

Financial Markets Conduct (Fees) Regulations 2014

Financial Markets Conduct (FMC Reporting Entities with Higher Level of Public Accountability) Notice 2014

Financial Markets Conduct Act (NZ Markets Disciplinary Tribunal Rules) Approval of Market Rules Notice 2016

Financial Markets Conduct (NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2017

Financial Markets Conduct (NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2017 – Legal Appointees

Financial Markets Conduct Act (NZX Main Board/Debt Market Listing Rules and NZAX Listing Rules) Approval of Market Rules Notice April 2017

Financial Markets Conduct (NZX Main Board/Debt Market Listing Rules) Approval of Rule Change Notice 2017

Financial Markets Conduct Act (NZX Markets – Standard Settlement) Approval of Market Rules Notice 2015

Financial Markets Conduct (NZX–NXT Market) Regulations 2014

Financial Markets Conduct Act (NZX Participant Rules) Approval of Market Rules Notice 2015

Financial Markets Conduct Act (NZX Rules) Approval of Market Rules Notice 2015

Financial Markets Conduct (Unlisted Market) Regulations 2015

Financial Markets Act Conduct Act Class Designation Notices

Table of Financial Markets Conduct Act Designation Notices

Financial Markets Conduct (Communal Facilities in Real Property Developments) Designation Notice 2016

Financial Markets Conduct (Forward Foreign Exchange Contracts) Designation Notice 2017

Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017

Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2017

Financial Markets Act Conduct Class Exemption Notices

Table of Financial Markets Conduct Act Exemption Notices

Financial Markets Conduct (Communal Facilities in Real Property Developments) Exemption Notice 2016

Financial Markets Conduct (Companies Being Wound Up – Debt Securities Allotted under Securities Act 1978) Exemption Notice 2017

Financial Markets Conduct (Corporate Trustees) Exemption Notice 2016

Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2014

Financial Markets Conduct (Disclosure Using Overseas GAAP) Exemption Notice 2016

Financial Markets Conduct (Employee Share Purchase Schemes) Exemption Notice 2016

Financial Markets Conduct (Employee Share Purchase Scheme Shares Offered under Securities Act 1978) Exemption Notice 2016

Financial Markets Conduct (Equine Bloodstock) Exemption Notice 2016

Financial Markets Conduct (Financial Reporting—DIMS Licensees) Exemption Notice 2015

Financial Markets Conduct (Financial Statements for Schemes Consisting Only of Separate Funds) Exemption Notice 2017

Financial Markets Conduct (Forestry Schemes) Exemption Notice 2016

Financial Markets Conduct (Incidental Offers) Exemption Notice 2016

Financial Markets Conduct (Irish UCITS) Exemption Notice 2017

Financial Markets Conduct (Licensed Independent Trustees of Restricted Schemes) Exemption Notice 2016

Financial Markets Conduct (Multiple-participant Schemes – Participation Agreements) Exemption Notice 2017

Financial Markets Conduct (NZCDC Settlement System) Exemption Notice 2014

Financial Markets Conduct (NZX-NXT Market) Exemption Notice 2014

Financial Markets Conduct (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS) Exemption Notice 2015

Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2016

Financial Markets Conduct (Overseas Custodians – Assurance Engagement) Exemption Notice 2017

Financial Markets Conduct (Overseas FMC Reporting Entities) Exemption Notice 2016

Financial Markets Conduct (Overseas Registered Banks and Licensed Insurers) Exemption Notice 2016

Financial Markets Conduct (Overseas Subsidiary Balance Date Alignment) Exemption Notice 2016

Financial Markets Conduct (Property Schemes—Custody of Assets) Exemption Notice 2016

Financial Markets Conduct (Recognised Exchanges) Exemption Notice 2016

Financial Markets Conduct (Securities Offered under Securities Act 1978 Exemptions Recognising Overseas Regimes) Exemption Notice 2016

Financial Markets Conduct (Small Co-operatives) Exemption Notice 2016

Financial Markets Conduct Act (Takeovers Panel) Exemption Notice 2015

Financial Markets Conduct (Unit Trusts and Group Investment Funds Being Wound Up – Securities Allotted under Securities Act 1978) Exemption Notice 2017

Financial Markets Conduct (US Futures Commission Merchants) Exemption Notice 2015

Financial Markets Conduct (Wholesale Investor Exclusion—$750,000 Minimum Investment) Exemption Notice 2017

Chapter 3 Financial Markets Supervisors

Financial Markets Supervisors Act 2011

Financial Markets Supervisors Regulations 2014

Chapter 4 Financial Products Transfer

Securities Transfer (Approval of Austraclear New Zealand Electronic Registries Interface System) Order 2010

Securities Transfer (Approval of FASTER System) Order 2001

Securities Transfer (Approval of System for Electronic Transfer of Securities on Australian Stock Exchange) Order 1997

Chapter 5 Futures

Futures Contracts Notices

Futures Contracts (Financial Transmission Rights) Notice 2012

Futures Contracts (Options for Quoted Securities) Notice 1990

Chapter 6 Secret Commissions

Secret Commissions Act 1910

Chapter 7 Financial Advisers

Financial Advisers Act 2008

Financial Advisers (Code of Professional Conduct for Authorised Financial

Advisers) Notice 2016

Code of Professional Conduct for Authorised Financial Advisers

Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.......1430

Financial Advisers (Definitions, Voluntary Authorisation, Prescribed Entities, and Exemptions) Regulations 2011

Financial Advisers (Disclosure) Regulations 2010

Financial Advisers (Fees) Regulations 2010

Financial Advisers (Personalised DIMS) Regulations 2014

Financial Advisers (Australian Licensees) Exemption Notice 2011

Financial Advisers (Australian Qualified Advisers) Exemption Notice 2014

Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017

Financial Advisers (Non-NZX Brokers—Client Money) Exemption Notice 2017

Financial Advisers (NZX Brokers—Client Money and Client Property) Exemption Notice 2015

Financial Advisers (Overseas Custodians–Assurance Engagement) Exemption Notice 2017

Financial Advisers (Recognition of New Qualifications) Exemption Notice 2015

Notice Under the Financial Advisers Act 2008

Chapter 8 Financial Service Providers

Financial Service Providers (Registration and Dispute Resolution) Act 2008

Financial Service Providers (Exemptions) Regulations 2010

Financial Service Providers (Fees) Regulations 2010

Financial Service Providers (Registration) Regulations 2010

Chapter 9 Anti-Money Laundering and Countering Financing of Terrorism

Anti-Money Laundering and Countering Financing of Terrorism Act 2009

Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice 2014

Anti-Money Laundering and Countering Financing of Terrorism (Cross-border Transportation of Cash) Regulations 2010

Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011

Anti-Money Laundering and Countering Financing of Terrorism (Exemptions) Regulations 2011

Anti-Money Laundering and Countering Financing of Terrorism (Ministerial Exemption Form) Regulations 2011

Anti-Money Laundering and Countering Financing of Terrorism (Prescribed Transactions Reporting) Regulations 2016

Anti-Money Laundering and Countering Financing of Terrorism (Publication of Class Exemption) Notice 2013

Anti-Money Laundering and Countering Financing of Terrorism (Requirements and Compliance) Regulations 2011

Chapter 10 Financial Transactions Reporting

Financial Transactions Reporting Act 1996

Financial Transactions Reporting (Prescribed Amount) Regulations 2010

Chapter 11 Non-bank Deposit Takers

Non-bank Deposit Takers Act 2013

Deposit Takers (Credit Ratings, Capital Ratios, and Related Party Exposures) Regulations 2010

Deposit Takers (Liquidity Requirements) Regulations 2010

Non-bank Deposit Takers (Debt Securities and Suitability Concerns) Regulations 2014

Non-bank Deposit Takers (Declared-out Entities) Regulations 2015

Deposit Takers Exemption Notices

Table of Deposit Takers Exemption Notices

Non-bank Deposit Takers Exemption Notices

Table of Non-bank Deposit Takers Exemption Notices

Non-bank Deposit Takers (Credit Ratings Minimum Threshold) Exemption Notice 2016

Table of Statutes and Regulations

Subject Index