Postgraduate - UnitBTX5180 - Financial services regulation

Refer to the specific census and withdrawal dates for the semester(s) in which this unit is offered.

Synopsis

A study of some of the laws regulating securities and financial markets from the policy perspective of what they are trying to achieve. The unit opens with the economic, legal and constitutional framework. Topics include the role of the market regulator; what is a 'security'; aspects of securities regulation legislation; relevant trade practices law; licensing; computerisation; internationalisation.

Outcomes

The learning goals associated with this unit are to:

1. define the purposes and scope of the regulation of financial markets
2. analyse the economic, legal and constitutional framework of financial services
3. critically evaluate the regulation roles of securities commissions and stock exchanges
4. evaluate the impact of competition law, computerisation and internationalisation on the financial services sectors.

Assessment

Within semester assessment: 40%
Examination (2.5 hours): 60%

Chief examiner(s)

Associate Professor Paul Latimer

Contact hours

One 2.5 hour session per week

Prohibitions

BTX4180