Law of Investments and Financial Markets

The textbook Law of Investments and Financial Markets, 3rd Edition, examines the legal principles affecting investors and professionals in investment-product industries. It outlines the regulatory frameworks governing financial products, services, and market participants.

A key focus is Chapter 7 of the Corporations Act 2001 (Cth), addressing licensing requirements, representative compliance duties, disclosure obligations, and investor dispute resolution. The text also surveys diverse asset categories alongside corporate and personal insolvency frameworks.

This edition incorporates recommendations from the Final Report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. The volume is designed to support tertiary students of financial planning and finance law, as well as financial planners, accountants, and investment lawyers.