An overview of corporate securities law in four English-language jurisdictions / Graeme Baber.

Format:

Book

Author/Creator:

Baber, Graeme, author.

Series:

Laws and Legislation Series

Language:

English

Subjects (All):

Securities--Australia.

Securities.

Securities--Canada.

Securities--English-speaking countries.

Securities--New Zealand.

Securities--United States.

Stock exchanges--Law and legislation.

Stock exchanges.

Physical Description:

1 online resource (344 pages)

Edition:

1st ed.

Place of Publication:

New York : Nova Science Publishers, Inc., [2023]

Summary:

"In Chapters 1 to 4, the monograph introduces the legal system of four English-Language jurisdictions, namely Australia, Canada, New Zealand and the United States of America, and then considers the regulators, and some of the laws that regulate, transactions in corporate securities there. Chapter 5 is comprised of concluding comments, based upon the work performed for the earlier chapters. Canadian securities' law is enacted by administrations in its constituent provinces and territories, rather than by the federal Government, which creates a point of interest for this book"-- Provided by publisher.

Contents:

Intro

Contents

List of Tables

Preface

List of Abbreviations

Acknowledgments

Chapter 1

Australia

Abstract

Introduction

An Introduction to the Legal System of Australia

Essentials

The Parliamentary Legislative Process

Subordinate Legislation

The Doctrine of Precedent

Equitable Remedies

The Relationship between Statute Law and Common Law

Courts

Tribunals

Commonwealth of Australia Constitution Act 1900

Australia Act 1986

Comment

Australian Corporate Securities Law

The Australian Securities and Investments Commission and the Act That Regulates It

Corporations Act 2001

Shares

Members' Rights and Remedies

Meetings of Members of Companies

Transactions Affecting Share Capital

Debentures

Duties of the Borrower (i.e., the Issuer of the Debenture)

Duties of Any Guarantor(s) of the Debentures

Duties of the Trustee

Takeovers

The Different Types of Takeover Bid

Formulating the Takeover Offer

The Takeover Procedure

Compulsory Acquisitions and Buy-Outs

Financial Services and Markets

Definitions

Licensing of Financial Markets

Licensing of Clearing and Settlement Facilities

Regulation of Derivative Transactions and Derivative Trade Repositories

Regulation of Financial Benchmarks

Licensing of Providers of Financial Services

Prohibited Conduct Relating to Financial Products and Financial Services

Conclusion

Chapter 2

Canada

An Introduction to the Legal System of Canada

Sources of Law

The Constitution of Canada

The Canadian Charter of Rights and Freedoms

Corporate Securities Law in Canadian Provinces

The Canadian Securities Administrators (CSA).

Corporate Securities Law in Alberta

Corporate Securities Law in British Columbia

Corporate Securities Law in Ontario

Corporate Securities Law in Quebec

A Federal or Federated System for Securities Law?

Reference re Securities Act, 2011 SCC 66

The Cooperative Capital Markets Regulatory System

Reference re Pan-Canadian Securities Regulation, 2018 SCC 48

Question 1

Question 2

Chapter 3

New Zealand

An Introduction to the Legal System of New Zealand

New Zealand's Road to Full Independence from the UK

Corporate Securities Regulation in New Zealand

Financial Regulation and Supervision

Financial Markets Authority Act 2011

Financial Markets Supervisors Act 2011

Financial Service Providers (Registration and Dispute Resolution) Act 2008

Takeovers Act 1993

Takeovers Regulations 2000 and Takeovers Code

Financial Markets Conduct Act 2013

The Purposes of the Financial Markets Conduct Act 2013

Fair Dealing

Governance of Financial Products

Debt Securities

Managed Investment Products

Dealing in Financial Products on Markets

Regulation of Market Services

Financial Reporting

Enforcement

Financial Markets Conduct Regulations 2014

Financial Markets Conduct (Asia Region Funds Passport) Regulations 2019

Overseas Investment Act 2005

Purpose

Overseas Investment in Significant Business Assets : Consent

National Security and Public Order Risks Management Regime

Overseas Investment Regulations 2005

Anti-Money Laundering and Countering Financing of Terrorism Act 2009

Purposes.

AML/CFT Requirements and Compliance

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

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

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

Chapter 4

United States of America

An Introduction to the Legal System of the USA

The Constitution of the USA

Securities Regulation in the USA before 1934

Securities Regulation prior to Black Tuesday (29th October 1929)

Black Tuesday to Securities and Exchange Commission (SEC)

The Securities and Exchange Commission (SEC)

The Securities Act 1933

A Registration Statement Must Be Filed for Offers of Securities

Registration of Securities

A Prospectus Must Accompany the Carriage of Registered Securities

The Effective Date of a Registration Statement

Cease-and-Desist Proceedings and Monetary Penalties

Circuit Court of Appeals may Review an Order of the SEC

Civil Liabilities

Civil Liabilities on Account of a False Registration Statement

Civil Liabilities Arising in Connection with Prospectuses and Communications

Time Limits

Liability of Controlling Persons

Binding Provisions Waiving the Securities Act 1933 Are Void

Fraudulent Transactions between States and with Other Countries

Covered Securities Are Exempt from Regulation by Any State

Special Powers of the Securities and Exchange Commission

Investigation of Breaches, Injunctions and Criminal Proceedings

Jurisdiction of Infringements of the Securities Act 1933.

Penalties for Wilful Transgression of the Securities Act 1933

Conflicts of Interest Relating to Sales of Asset-Backed Securities

The SEC may Exempt any Person, Security or Transaction

Securities and Transactions that are Exempt from the Registration Requirement of the Securities Act

Securities Exempt from Registration under the Securities Act

Transactions Exempt from Registration under the Securities Act

SEC Regulation D

SEC Regulation S

SEC Rule 144A

The Securities Exchange Act 1934

Registration of an Exchange as a National Securities Exchange

Manipulation of Securities Prices and Similar Offences

Manipulative and Deceptive Devices: Authority for the SEC To Adopt Rules Prohibiting Fraud, Manipulation and Insider Trading

Trading by Members of Exchanges, Brokers and Dealers

Registration Requirements for Securities

Registration Requirements for Brokers and Dealers

Federal Securities Acts after 1934

Trust Indenture Act 1939

Investment Advisers Act 1940

Investment Company Act 1940

Securities Investor Protection Act 1970

Sarbanes-Oxley Act 2002

Dodd-Frank Wall Street Reform &amp

Consumer Protection Act 2010

Jumpstart Our Business Startups Act 2012

Chapter 5

Concluding Comments

References

Bibliography

Index

About the Author

Blank Page.

Notes:

Description based on print version record.

Includes bibliographical references and index.

Other Format:

Print version: Baber, Graeme An Overview of Corporate Securities Law in Four English-Language Jurisdictions

ISBN:

9798886978629

OCLC:

1381095187