LAW4513 - Capital markets regulation: A comparative perspective - 2017

6 points, SCA Band 3, 0.125 EFTSL

Undergraduate - Unit

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



Not offered in 2017


The object of this unit is to examine the regulatory requirements for specific types of capital market transactions in Canada, the EU, the UK and the US. Subjects to be covered including the securities regulations affecting the issuance of securities, the disclosure requirements once securities are being traded in the secondary market, shareholders' rights, the securities aspects of takeover regulation, and definitions and prohibitions on insider trading.


On completion of this unit students should:

  1. Understand the legal frameworks for capital market regulation in Canada, the EU, the UK and the US, and the relationships between these systems of regulation and corporate governance reforms.
  2. Understand the varying regulatory philosophies and challenges informing the relevant capital market regulators in the different jurisdictions.
  3. Be able to critically evaluate the pressures brought to bear on national systems of capital market regulation in light of globalization and increasing shareholder activism by hedge funds; private equity and socially-responsible investors.


Examination (24 hour take-home) 4 Questions 100% OR Examination (24 hour take-home) 2 Questions 50% AND Essay 4,000 words 50%

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. 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.

See also Unit timetable information