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Download Financial Services Law and Compliance in Australia by Gail Pearson PDF

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By Gail Pearson

Up until eventually the worldwide credits difficulty in 2008, 'Financial companies' used to be the quickest transforming into region of the Australian economic system. This development has had profound implications for people, agencies and executive. Following broad overview within the final a part of the 20th century, Australia installed position an overarching process for regulating all monetary prone, changing a procedure that used to be in response to separate legislation of goods in person industries. concentrating on the consequences of the recent approach for retail consumers - 'financial electorate' - monetary providers legislation and Compliance in Australia offers a finished account of the regulatory constitution and a close research of the legislative framework, together with dialogue of the hot regulatory our bodies, the hot licensing standards for these wishing to go into the monetary prone industry and the hot duties for these advertising and marketing or delivering monetary prone to the general public. this is often an important source for these operating in, and advising on, monetary companies, for college kids of economic prone legislation, and for an individual wanting to appreciate this new regime in Australia.

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10 This was attributable to the global reinsurance crisis and the collapse of the Australian insurance body, HIH. 5 million claims each year.

4 Most importantly, all employed Australians contribute to the market through compulsory superannuation in a unique system with no social security levy and a strictly means-tested old age pension scheme. Superannuation is the largest asset class held by retail investors,5 who may choose which superannuation fund holds their asset. There has been a shift from readily accessible deposits to ‘locked up’ superannuation; as 1 For a general account of the financial system, see RBA ‘The Structure of the Australian Financial System’, Financial Stability Review, March 2006.

2) [1966–67] 40 ALR 265, 451, 461 Seafarers’ Retirement Fund Pty Ltd v Oppenhuis [1999] FCA 1683, 491 Secretary of State for Employment v Wellworthy (No. 2) [1976] ICR 13, 295 Securities Exchanges Guarantee Corp. Ltd v Aird (2001) 161 LFLR 420; 38 ACSR 185; [2001] NSWSC 379, 524 Shahid v The Australian College of Dermatologists [2007] FCA 693, 221 Siddons Pty Ltd v Stanley Works Pty Ltd (1991) 29 FCR 14, 226 liv TABLE OF CASES Slingsby v District Bank Ltd [1932] 1 KB 544, 294 Small v Gray [2004] NSWSC 97, 441 Sons of Gwalia Ltd v Margaretic; ING Investment Management LLC v Margaretic [2007] HCA 1, 253 South Eastern Secured Investments (Credit) v Edwards [2005] VCAT 2146, 416 Spangaro v Corporate Investment Australia Funds Management Ltd [2003] FCA 1025, 338, 339 Speight v Gaunt (1883) 9 App Cas 1, 332 Spotts v Baltimore & Ohio Railroad Co (1939) 102F (2d) 160, 126 St George Bank Ltd v Trimarchi [2004] NSWCA 120, 446 Stasos v Tax Agents Board of New South Wales, 480 State Bank v Sullivan [1999] NSWSC 596, 435, 444 State of Queensland v Ward [2002] QSC 171, 413, 431, 432, 436 Stern v Macarthur (1988) 165 CLR 489, 247 Story v National Companies and Securities Commission (1988) 13 NSWLR 661, 126, 327 Sykes v Reserve Bank of Australia (1997) 151 ALR 579; [1998] ATPR 41–608, 221 Sykes v Reserve Bank of Australia (1998) 88 FCR 511; 158 ALR 710, 221 Szita v Capital Finance Australia Limited [2003] VCAT 2008, 417 Tai Hing Cotton Mill Ltd v Liu Chong Hing Bank Ltd [1986] AC 80, 293 Talmax Pty Ltd v Telstra Corporation Ltd [1997] 2 Qd R 444, 226 Tassel v Cooper (1850) 9 CB 509, 293 Taylor & Taylor v Third Szable Holdings Pty Ltd [2002] VCAT 1841, 414 Taylor & Taylor v Third Szable Holdings Pty Ltd & Secretary to the Dept.

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