BTF3091

Regulation of the securities industry

Not offered in 1999

Associate Professor Robin Edwards

6 points · 3 hours per week · First and second semester · Caulfield · Prerequisite: BTX1151

Objectives On completion of this subject students should be able to appreciate and recognise the laws relating to the securities industry; make an informed decision regarding legal controls which exist and provide appropriate advice on matters relating to the securities industry.

Synopsis Constitutional background and development of securities industry law in Australia; the Australian Securities and Investments Commission; stock exchange regulation; relationship of broker and client; conduct of securities business; liability in dealings in securities; shortselling; false trading; fraudulent dealing; insider trading.

Assessment Assignment (3000-4000 words): 30% · Examination (3 hours, open-book): 70%

Prescribed texts

Baxt R and others Securities industry law Butterworths, latest edn

Back to the 1999 Business and Economics Handbook