LAW4168

Regulation of financial products and markets 406 (6 points)

(LAW)

Leader:

Offered:
Not offered in 2004.

Synopsis:

Objectives: To study the context of the regulation of financial products and markets, including the institutions and practices of the market. Satisfying this objective will include a visit, where possible, to the trading floor of one of the leading market intermediaries; To develop an understanding of the arguments for financial regulation, the main regulatroy techniques adopted (eg. disclosure, ownership and control, regulation of intermediaries) and the issues of law and policy in the area; To enrich the study of relevant regulatory rules and policy by the introduction of interdisciplinary and comparative material and policy which govern markets in collective investments.

Assessment: Short written reports of market visit: 10% + prospectus due diligence exercise: 10% + Research essay (3000 words): 40% + Final examination (2 hours plus 10 minutes reading time): 40%

Contact Hours: Three hours of lectures per week

Prerequisites: LAW1100 Legal Process, LAW4171 Corporations Law