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Unit of study_

Compliance: Financial Services Industry - LAWS6264

Year - 2019

The unit will examine in detail the legal and regulatory requirements relevant to the financial services industry, and how the risk of breaching those requirements can be managed by compliance systems. It will focus not only on legal theory but also on the practical day to day business issues involved with compliance. The unit is divided into two parts: (a) Core compliance issues: licensing of financial service providers; compliance systems; insider trading and Chinese walls; market conduct rules; shareholding restrictions; trade practices; anti-money laundering, counter-terrorism financing and other measures to combat crime; retail customer obligations; marketing financial products; client money rules; privacy; fiduciary duties and conflicts of interest; confidentiality; phone taping; and investigating compliance breaches (including reporting obligations and HR issues); and (b) Specialist compliance issues relevant to: managed investments; deposit products, non cash payment facilities; credit facilities, stockbroking; derivatives; warrants; foreign exchange; futures broking; financial planning; margin lending; insurance and insurance broking; superannuation and retirement savings accounts. The lecturer is Adjunct Professor Kevin Lewis, who is Chief Compliance Officer of the Australian Securities Exchange (ASX).

1x2-hr lecture/week

assignment (40%) and 2hr exam (60%)

Additional information
Academic Profile The unit is also available on a Continuing Professional Development basis


Faculty: Sydney Law School

Semester 2

05 Aug 2019

Department/School: Law
Study Mode: Normal (lecture/lab/tutorial) evening
Census Date: 31 Aug 2019
Unit of study level: Postgraduate
Credit points: 6.0
EFTSL: 0.125
Available for study abroad and exchange: No
Faculty/department permission required? No
More details
Unit of Study coordinator: Adj Prof Kevin Lewis
HECS Band: 3
Courses that offer this unit

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