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BTF3091 - Stock exchange and derivatives law

6 points, SCA Band 3, 0.125 EFTSL

Undergraduate Faculty of Business and Economics

Leader: Associate Professor Paul Latimer


Caulfield First semester 2007 (Evening)


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 financial services, intermediaries by statute, case law and administration by ASIC, ASX and SFE. Topics include market regulation by ASIC, the ASX and the SFE, liability for misstatements and non-disclosure about financial products, licensing of dealers and investment advisers, the relationship of broker and client, conduct of securities and futures business.


The learning objectives of this unit are to:


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

Contact hours

3 hours per week


completion of any four second-year units