LAWS6247 - Securities and Markets Regulation


  • Examine 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.


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.


Semester 1 Intensive
13-17 & 20 January 2014

The timetable is subject to frequent changes. Please refer to the latest version of the Postgraduate Timetable.


  • 1 x 7,000 Word Research Essay (100%)

Assumed Knowledge

Law degree with good background in Australian corporate law

Please note: This unit replaced LAWS6247 Australian Financial Services Regulation.

Continuing Professional Development (CPD)

You can credit this unit towards Continuing Professional Development (CPD). Units of study that are part of Sydney Law School’s Postgraduate Program meet the necessary Mandatory Continuing Legal Education (MCLE) of the Law Society of New South Wales and the Continuing Professional Development (CPD) requirements of the New South Wales Bar Association. You may complete this unit of study by enrolling on a non-degree basis or on an audit basis only with no assessment via Single Unit Study.

Courses this unit is available in

Master of Laws | Graduate Diploma in Law | Master of Global Law | Master of Business Law | Graduate Diploma in Commercial Law | Graduate Diploma in Corporate, Securities and Finance Law