Regulations of the securities industry
Not offered in 1997
Associate Professor Robin Edwards
6 points
* 3 hours per week
* First, second semester
* Caulfield
* Prerequisite: FIN1151
Objectives On completion of this subject students should be able to appreciate and recognise the laws relating to the securities industry; make an informed decision regarding legal controls which exist and provide appropriate advice on matters relating to the securities industry.
Synopsis Constitutional background and development of securities industry law in Australia; stock exchange regulation; relationship of broker and client; conduct of securities business; liability in dealings in securities; shortselling; false trading; fraudulent dealing; insider trading.
Assessment Assignment (3000-4000 words): 30%
* Examination (3 hours,
open-book): 70%
Prescribed texts
Baxt R and others Securities industries law Butterworths, latest edn
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