units

BTC3130

Faculty of Business and Economics

18 September 2017 25 November 2024
Monash University

Undergraduate - Unit

This unit entry is for students who completed this unit in 2012 only. For students planning to study the unit, please refer to the unit indexes in the the current edition of the Handbook. If you have any queries contact the managing faculty for your course or area of study.

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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, or view unit timetables.

LevelUndergraduate
FacultyFaculty of Business and Economics
OfferedNot offered in 2012
Coordinator(s)Associate Professor Paul Latimer

Synopsis

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, the ASX and the 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.

Outcomes

The learning goals associated with this unit are to:

  1. define the purposes and scope of the regulation of financial markets
  2. analyse the co-regulatory roles of ASIC and ASX
  3. describe the effect of misleading or deceptive conduct in financial markets
  4. evaluate the impact of co-regulation on the financial services industry
  5. critically analyse the regulation of market manipulation and insider trading.

Assessment

Within semester assessment: 30%
Examination (3 hours): 70%

Chief examiner(s)

Associate Professor Paul Latimer

Contact hours

3 hours per week

Prohibitions

BTF3091