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Law of Investments e3

Law of Investments e3

By John McLaren, Melissa Naylor, Mary Toohey

The Law of Investments examines the various areas of law that impact on investors and those working in industries associated with investment products. It covers Chapter 7 of the Corporations Act and the requirements associated with licensing including the legal obligations and compliance requirements of licensees and their representatives, disclosure, dispute resolution and investor protection.

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  • Full description

    Law of Investments examines the various areas of law that impact on investors and those working in industries associated with investment products. It covers Chapter 7 of the Corporations Act and the requirements associated with licensing including the legal obligations and compliance requirements of licensees and their representatives, disclosure, dispute resolution and investor protection. This edition includes discussion of the latest changes proposed to Chapter 7 and the associated regulatory guides and also recent case law.

    Various forms of investment are considered, including managed investments, real property and direct investments into companies. The main sources of law relating to these areas of study include:

    statutes such as the Corporations Act 2001 (Cth); the Australian Securities and Investments Commission Act 2001(Cth); the Competition and Consumer Act 2010 (Cth); the Income Tax Assessment Act 1936 (Cth); and the Income Tax Assessment Act 1997 (Cth);

    the common law, including the tort of negligence, contract law and fiduciary duties; and

    administrative actions, by the Australian Securities and Investments Commission (ASIC) and the Australian Taxation Office (ATO) through regulatory guides and rulings.

    Law of Investments also covers the effect of bankruptcy and marriage and relationship breakdown on investors and also the importance of estate planning for the investor. There is a specific chapter on superannuation and the recent changes to the rules governing the concessional contribution limits. Legal aspects of Self Managed Superannuation Funds are also discussed in some detail.

    In July 2013, content in Chapters 4, 5 and 11 was updated by the authors.  Chapter 4 outlines changes to Part 7.7A of the Corporations Act, relating to conduct obligations for personal advice to retail clients.  Chapter 5 addresses the Conflicted Remuneration provisions.  Chapter 11 revises Captial Structure and outlines security interests.  These chapters are available as instructor and student supplements without a password.

    This book provides most of the guidance that a serious investor may need on how the current law impacts on their particular investments. It is also designed to assist investment advisers to quickly and accurately find the appropriate law that relates to their requirements. Tertiary students of financial planning and finance law, as well as financial planners, accountants and lawyers practising in investment law will also find the book useful.

  • About the author
  • Product details

    ISBN: 9780455228839

    Published: 2011

    Format: Softcover

  • Table of contents

    Part A Introduction 
        Introduction to Investments and the Law 

    Part B Investing in Financial Products 
        Common Law Framework for Market Participants 
        Regulation of the Financial Services Industry: Corporations Act, Chapter 7 
        Conduct and Disclosure in the Investment Advisory Process 
        Investor Protection and Dispute Resolution 
        Managed Investments Schemes 

    Part C Direct Investments in Real Property 
        Investment in Real Property 

    Part D Investing in a Company 
        The Nature of Investing in a Company 
        Members’ Rights 
        Insider Trading: Using Inside Information 
        Funding Company Operations 
        Corporate Governance 
        Takeovers 
        Corporate Insolvency 

    Part E Personal Aspects of Investments 
        Bankruptcy 
        Financial Consequences of Death and Relationship Breakdown 

    Part F Investing for Retirement 
        Superannuation 
        Social Security Benefits and the Investor 

    Part G Taxation and International Aspects of Investments 
        Legislative and Administrative Framework 
        Taxation of Investments 
        Goods and Services Tax and Investments 
        Structure of Investment Activity 
        Taxation of Participants in the Investment Industry 
        Foreign Investment Into and Out of Australia

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