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Unit of study_

Regulation of Securities Markets - CLAW2203

Year - 2019

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.

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%)


CLAW2201 or CLAW1003 or CLAW2214


Faculty: Business (Business School)

Semester 1

25 Feb 2019

Department/School: Business Law
Study Mode: Normal (lecture/lab/tutorial) day
Census Date: 31 Mar 2019
Unit of study level: Senior
Credit points: 6.0
EFTSL: 0.125
Available for study abroad and exchange: Yes
Faculty/department permission required? No
Courses that offer this unit

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 undertake cross-institutional study in one or more units of study at the University of Sydney.

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