Published by Monash University, Australia
Maintained by wwwdev@monash.edu.au
Approved by L Macdonald, Faculty of Business and Economics
Copyright © Monash University 1997 - All Rights Reserved - Caution
Not offered in 1998
Associate Professor Robin Edwards
6 points
* 3 hours per week
* First and second
semester
* Caulfield
* Prerequisite: TBX1151
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
Back to the Business and Economics Handbook, 1998
Published by Monash University, Australia
Maintained by wwwdev@monash.edu.au
Approved by L Macdonald, Faculty of Business and Economics
Copyright © Monash University 1997 - All Rights Reserved -
Caution