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Finance University of New South Wales

Premium Securities and Financial Services Regulation Notes - Sample PDF

Description

A 204 page bible of detailed cases and materials summaries, super summaries ideal for open book exam use and a rights/remedies map.

Please be aware that the FOFA legislation has gone through substantial revisions and continues to be modified - some of the material contained in these documents regarding FOFA may be out of date.

Structure of the cases and materials summaries:

  • Class 1 - Introduction

  • Class 2 - What is 'regulation'

  • Class 3-6: How are we regulating (Generally, Disclosure to Retail Clients, Licensing)

  • Class 7 - Customer Agreements: Traditional Advisory Accounts

  • Class 8 - ASIC Investigation and Enforcement Powers

  • Class 9 - Criminal and Civil Penalties, Regulator's Sanctions and Other ASIC Act Actions

  • Class 10 - Plaintiff Actions

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Securities and Financial Services Regulation Notes

4.94
2 copies sold
$46.95

What is included?

  • This product contains 11 documents
  • Approximately 294 pages

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