Securities and Markets Regulation (LAWS6247)

UNIT OF STUDY

This unit examines the structure and regulation of markets for financial products, with particular emphasis on corporate securities, following the introduction of the Financial Services Reform Act. The study is primarily a legal analysis, but also explores some financial theory relevant to legal response to market operation. Particular topics covered include: structures, institutions and participants in Australian financial products markets and current developments in such markets; co-regulation of financial products markets, including the role and powers of the Australian Securities and Investments Commission and Australian Stock Exchange; the licensing of financial services professionals; the conduct of securities business, including the legal structure of stock exchange transactions and the incidents of the broker-client relationship; abusive trading on financial products markets, including market manipulation and insider trading.

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Further unit of study information

Classes

Jan 13-17 & 20 (2-6)

Assessment

7000wd essay (100%)

Faculty/department permission required?

No

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