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Unit of study_

Securities and Markets Regulation - LAWS6247

Year - 2020

This unit examines the structure and regulation of markets for financial products, with particular emphasis on corporate securities. 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 Securities Exchange Limited and other market operators; the licensing of financial services professionals; the conduct of securities business, including the legal structure of securities exchange transactions and the incidents of the broker-client relationship; and abusive trading on financial products markets, including market manipulation and insider trading.

Aug 10-13 (2-6) & Aug 14 (11-6)

class participation (10%) and 7000wd essay (90%)

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

Assumed knowledge
Students should hold a law degree with good background in Australian corporate law.


Faculty: Sydney Law School

Intensive September

24 Aug 2020

Department/School: Law
Study Mode: Block mode
Census Date: 11 Sep 2020
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 Justice Ashley Black
HECS Band: 3
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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