Securities Law in Australia

Tue, 07 Jul 2026 00:00:00 +0000

Introduction

Australian securities law regulates the issue and trading of financial products, the conduct of financial markets, and the provision of financial services. The principal legislative framework is the Corporations Act 2001 (Cth), particularly Chapters 6, 6A, 6B, 6C, 6D, and 7, which govern takeovers, compulsory acquisitions, substantial shareholdings, fundraising, and financial services and markets. The Australian Securities and Investments Commission (ASIC) is the primary regulator, exercising powers of registration, licensing, surveillance, investigation, and enforcement. The Australian Securities Exchange (ASX) operates Australia’s primary securities market and enforces its Listing Rules under delegation from ASIC. The Australian securities regulatory framework is characterised by a disclosure-based philosophy, a prohibition-based enforcement model, and a dual regulator-operator structure.

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Securities Law in Australia

Introduction