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Unit of study_
LAWS6247: Securities and Markets Regulation
2024 unit information
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 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. Further information about this unit is available in the Sydney Law School timetable https://canvas.sydney.edu.au/courses/4533/pages/postgraduate-lecture-timetable, unit of study outline https://www.sydney.edu.au/units and academic staff profile https://www.sydney.edu.au/law/about/our-people/academic-staff.html
Unit details and rules
Managing faculty or University school:
Sydney Law School
| Study level | Postgraduate |
|---|---|
| Academic unit | Law |
| Credit points | 6 |
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Prerequisites:
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None |
|---|---|
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Corequisites:
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None |
| Prohibitions:
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None |
| Assumed knowledge:
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Students should hold a law degree with good background in Australian corporate law |
At the completion of this unit, you should be able to:
- LO1. demonstrate an understanding of structures, institutions and participants in Australian financial products markets and current developments in such markets
- LO2. demonstrate an understanding of co-regulation of financial products markets, including the role and powers of the Australian Securities and Investments Commission (“ASIC”) and Australian Securities Exchange (“ASX”)
- LO3. demonstrate an understanding of the licensing of financial services professionals
- LO4. demonstrate an understanding of the conduct of securities business, including the legal structure of stock exchange transactions and the incidents of the broker-client relationship
- LO5. demonstrate an understanding of abusive trading on financial products markets, including market manipulation and insider trading.
Unit availability
This section lists the session, attendance modes and locations the unit is available in. There is a unit outline for each of the unit availabilities, which gives you information about the unit including assessment details and a schedule of weekly activities.
The outline is published 2 weeks before the first day of teaching. You can look at previous outlines for a guide to the details of a unit.
| Session | MoA ? | Location | Outline ? |
|---|---|---|---|
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Intensive January - February 2024
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Block mode | Castlereagh St, Sydney |
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Modes of attendance (MoA)
This refers to the Mode of attendance (MoA) for the unit as it appears when you’re selecting your units in Sydney Student. Find more information about modes of attendance on our website.
