Faculty of Business and Economics

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Monash University

Monash University Handbook 2011 Postgraduate - Unit

6 points, SCA Band 3, 0.125 EFTSL

Refer to the specific census and withdrawal dates for the semester(s) in which this unit is offered.

FacultyFaculty of Business and Economics
OfferedCaulfield Winter semester 2011 (On-campus block of classes)
Coordinator(s)Associate Professor Paul Latimer


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:

  1. define the purposes and scope of the regulation of financial markets
  2. analyse the economic, legal and constitutional framework of financial services
  3. critically evaluate the regulation roles of securities commissions and stock exchanges
  4. evaluate the impact of competition law, computerisation and internationalisation on the financial services sectors.


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

Chief examiner(s)

Associate Professor Paul Latimer

Contact hours

One 2.5 hour session per week