Faculty of Business and Economics
|Faculty||Faculty of Business and Economics|
|Organisational Unit||Department of Business Law and Taxation|
|Offered||Not offered in 2013|
|Coordinator(s)||Associate Professor Paul Latimer|
This unit involves a study of the legal framework regulating the securities and futures industries which derives from the interaction of statute law, case law, ASIC releases, ASX and SFE rules. It focuses on the regulation of financial services, intermediaries by statute, case law and administration by ASIC, ASX and SFE. Topics include market regulation by ASIC, the ASX and the SFE, liability for misstatements and non-disclosure about financial products, licensing of dealers and investment advisers, the relationship of broker and client, conduct of securities and futures business.
The learning goals associated with this unit are to:
Within semester assessment: 30%
3 hours per week
Students must have passed 24 points to undertake this unit.