LAW7256

Regulation of collective investments

(LAW)

Professor D Kingsford Smith

6 credit points + Second semester + City + Prerequisites: LAW4171 and LAW4170 or LAW4169 or comparable subjects

Synopsis: The principal topics include context of collective investment regulation in Australia; the juristic nature of financial regulation; mandatory requirements of the business form for collective investment; statutory prudential controls and trust law in the regulation of investment decisions in collective investments; the use of disclosure in the regulation of collective investment; regulation of intermediaries in the market for collective investments; and ownership and control in the market for collective investments.

Assessment: Research paper (5000 words): 70% + Class presentation and synopsis: 30%