BTX3130 - Stock exchange and derivatives law - 2018

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.


Business and Economics

Organisational Unit

Department of Business Law and Taxation

Chief examiner(s)

Dr Andrew Serpell


Dr Andrew Serpell

Unit guides



  • First semester 2018 (On-campus)




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.


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.


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.

See also Unit timetable information