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Handbooks Courses Units

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 2008 (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 unit 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:

  • 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.


Within semester assessment: 60%
Examination (2.5 hours): 40%

Contact hours

2.5 hour session per week

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