units

BTX3130

Faculty of Business and Economics

18 September 2017 23 December 2024
Monash University

Undergraduate - Unit

This unit entry is for students who completed this unit in 2014 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
Organisational UnitDepartment of Business Law and Taxation
OfferedNot offered in 2014
Coordinator(s)Associate Professor Paul Latimer

Synopsis

Aspects of the legal and regulatory environment of the securities and futures industries, which derives from the interaction of statute law, case law, ASIC releases and ASX rules. Includes the regulation of financial services intermediaries by statute, case law and administration by ASIC and ASX; market regulation by ASIC and ASX; liability for misstatements and non-disclosure about financial products; licensing of brokers 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: 70%

Chief examiner(s)

Associate Professor Paul Latimer

Workload requirements

3 hours per week

Prohibitions

BTF3091