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BTX5180 - Financial services regulation

6 points, SCA Band 3, 0.125 EFTSL

Postgraduate Faculty of Business and Economics

Leader: Associate Professor Paul Latimer


Caulfield First semester 2007 (Evening)


A study of some of the laws regulating securities and financial markets from the policy perspective of what they are trying to achieve. The subject opens with the economic, legal and constitutional framework. Topics include the role of the market regulator; what is a 'security'; aspects of securities regulation legislation; relevant trade practices law; licensing; computerisation; internationalisation.


The learning goals associated with this unit are to:


Research Assignment (4000 words: 40%)
Examination (2.5 hours): 40%
Class presentations: 20%

Contact hours

2.5 hour session per week