Securities and Financial Services Law
Undergraduate
Undergraduate
COML 3001
Undergraduate
Yes
Note: This offering may or may not be scheduled in every study period. Please refer to the timetable for further details.
105403
4.5
No
The 2025 timetable is
not yet available.
UniSA Justice & Society
Course Alert: This course is no longer available for enrolment
To familiarise students with the law relating to the issue and trading of financial Securities and financial products, and to takeovers.
Aspects of the law relating to the regulation of markets in securities and financial products including:
• The statutory definition of ‘security’ and ‘financial product’
• Regulation of securities offerings
• Conducting a regulated securities offer
• Offering financial products other than securities
• The continuous disclosure requirement
• Securities class actions
• Licensing of market providers
• Internal regulation of securities exchanges and enforceability of listing rules
• Compensation regimes
• Licensing of financial intermediaries
• The relationship between financial service licensees and their clients
• Mergers and acquisitions
• Market misconduct, prohibited conduct, insider trading, and short-selling regulation.
Baxt, R. Black, A., Hanrahan, P. 2008, Securities and Financial Services Law, 5th, LBC, N/A
Subject Area & Catalogue Number | Course Name |
---|---|
Group 2 | |
COML 2005 | Companies and Partnership Law |
COML 1001 | Foundations of Business Law |
One of the groups listed above.
Nil
Component | Duration | ||
---|---|---|---|
INTERNAL, CITY WEST | |||
Preparatory | 1 x 1 week | ||
Lecture | 2 hours x 13 weeks | ||
Tutorial | 1 hour x 12 weeks | ||
EXTERNAL, CITY WEST, DISTANCE EDUCATION (INTENSIVE) | |||
External | N/A x 13 weeks |
Note: These components may or may not be scheduled in every study period. Please refer to the timetable for further details.
Assignment: application of law to hypothetical factual problem (week 8), Research essay (week 14), Wekly submitted exercises based on ongoing tutorial case study (8 x 5%) (weeks 3-10)
EFTSL*: 0.125
Commonwealth Supported program (Band 4C)
To determine the fee for this course as part of a Commonwealth Supported program, go to:
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Fee-paying program for domestic and international students
International students and students undertaking this course as part of a postgraduate fee paying program must refer to the relevant program home page to determine the cost for undertaking this course.
Non-award enrolment
Non-award tuition fees are set by the university. To determine the cost of this course, go to:
How to determine the relevant non award tuition fee. (Opens new window)
Not all courses are available on all of the above bases, and students must check to ensure that they are permitted to enrol in a particular course.
* Equivalent Full Time Study Load. Please note: all EFTSL values are published and calculated at ten decimal places. Values are displayed to three decimal places for ease of interpretation.