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Stock exchange and derivatives law (6 points)


Leader: Associate Professor Paul Latimer

Caulfield First semester 2003 (Evening)
Caulfield First semester 2004 (Evening)

Synopsis: This unit involves a study of the legal framework regulating the securities and futures industries which derives from the interaction of statute law, case law, ASIC releases, ASX and SFE rules. It focuses on the regulation of securities and futures industries, intermediaries by statute, case law and administration by ASIC, the ASX and the SFE. Topics include market regulation by ASIC, the ASX and the SFE, liability for misstatements and non-disclosure about securities and futures, licensing of dealers and investment advisers, the relationship of broker and client, conduct of securities and futures business.

Assessment: Assignment (2500 words): 30% + Examination (open book, 3 hours): 70%

Contact Hours: 3 hours per week

Prerequisites: completion of any four second-year units

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