Securities and Markets Regulation (LAWS6247)


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.

Our courses that offer this unit of study

Further unit of study information


Jan 18-22 & 25 (2-6)


7000wd essay (100%)

Faculty/department permission required?


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.