BTX5180 - Financial services regulation

Leader: Associate Professor Paul Latimer

Offered

Caulfield First semester 2007 (Evening)

Synopsis

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.

Objectives

The learning goals associated with this unit are to:

• define the purposes and scope of the regulation of financial markets
• analyse the economic, legal and constitutional framework of financial services
• critically evaluate the co-regulatory roles of ASIC and ASX
• evaluate the impact of competition law, computerisation and internationalisation on the financial services sectors.

Assessment

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

Contact hours

2.5 hour session per week