2014 Unit of Study

The session(s) below are for 2014. For Summer School 2014 unit of study availability please visit the Summer School website (main Summer session January/February 2014).

The University of Sydney session calendar shows exact dates for sessions.

Regulation of Securities Markets
UoS Code CLAW2203
Credit points 6
Offered Semester 1
Prerequisites CLAW2201 or CLAW2001
Prohibitions CLAW2003
Assumed Knowledge
Additional Information
Lectures Three hours of classes per week, which may include one or more of the following: lectures; seminars; tutorials or workshops
Assessment Mid-semester test (20%), take home case study or research paper (30%), and final exam (50%)
Description As securities markets become increasingly sophisticated, understanding the manner in which they are regulated is essential. This unit examines the regulation of securities markets and the legal and industry controls governing their operation. Detailed consideration is given to the Australian Securities and Investments Commission's powers and responsibilities, including the areas of: financial service providers, short selling, insider trading and other market misconduct, market integrity, corporate governance, disclosure and proposals to reform the regulatory environment. The roles of other institutions such as the Australian Securities Exchange and the status and enforcement of its listing rules are explored. Current issues in the international regulation of securities markets are also addressed.