Regulation of Securities Markets (CLAW2203)


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.

Our courses that offer this unit of study

Further unit of study information


Three hours of classes per week, which may include one or more of the following: lectures; seminars; tutorials or workshops


class participation (10%), presentation (5%), group paper (10%), research paper (35%), mid-semester exam (20%), final exam (20%)

Faculty/department permission required?


Unit of study rules


CLAW2201 or CLAW2001



Study this unit outside a degree

Non-award/non-degree study

If you wish to undertake one or more units of study (subjects) for your own interest but not towards a degree, you may enrol in single units as a non-award student.

Cross-institutional study

If you are from another Australian tertiary institution you may be permitted to underake cross-institutional study in one or more units of study at the University of Sydney.