Postgraduate - UnitBTF5180 - Financial services regulation

This unit entry is for students who completed this unit in 2015 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.

Level	Postgraduate
Faculty	Faculty of Business and Economics
Organisational Unit	Department of Business Law and Taxation
Offered	Caulfield Second semester 2015 (Evening)
Coordinator(s)	Dr Andrew Serpell

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 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 and internationalisation.

Outcomes

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 regulation roles of securities commissions and stock exchanges
evaluate the impact of competition law, computerisation and internationalisation on the financial services sectors.

Assessment

Within semester assessment: 40%
Examination: 60%

Workload requirements

Minimum total expected workload to achieve the learning outcomes for this unit is 144 hours per semester typically comprising a mixture of scheduled learning activities and independent study. Independent study may include associated readings, assessment and preparation for scheduled activities. The unit requires on average three/four hours of scheduled activities per week. Scheduled activities may include a combination of teacher directed learning, peer directed learning and online engagement.

Chief examiner(s)

Dr Andrew Serpell

Prohibitions

BTX4180, BTX5180