BTF5180 - Financial services regulation - 2018

6 points, SCA Band 3, 0.125 EFTSL

Postgraduate - Unit

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


Business and Economics

Organisational Unit

Department of Business Law and Taxation

Chief examiner(s)

Dr Andrew Serpell


Dr Andrew Serpell

Not offered in 2018


BTX4180, BTX5180


This subject examines the laws relating to financial services regulation from the policy perspective of what they are trying to achieve. The unit starts by considering the purpose of financial services regulation and the function and powers of financial regulators. It examines financial crime and the penalties which apply to breaches of the financial services laws. Other topics include the regulation of financial intermediaries and financial product advice, consumer protection and redress, fundraising and disclosure, brokers and financial markets and consumer credit.


The learning goals associated with this unit are to:

1 understand the purpose of financial services regulation

  1. critically examine the role and powers of financial regulators
  2. research, describe and analyse the regulation of financial products, financial markets, financial intermediaries, financial advice and consumer credit in Australia
  3. communicate effectively about financial regulation issues, both verbally and in writing.


Within semester assessment: 50% + Examination: 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. 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.

See also Unit timetable information