Securities and Financial Services Law

Course aim

To familiarise students with the law relating to the issue and trading of financial Securities and financial products, and to takeovers.

Course content

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.

Textbook(s)

Baxt, R. Black, A., Hanrahan, P. 2008, Securities and Financial Services Law, 5th, LBC, N/A

Prerequisite(s)

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.

Corequisite(s)

Nil

Teaching method

Component	Duration
INTERNAL, CITY WEST
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.

Assessment

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)

Fees

EFTSL*: 0.125
Commonwealth Supported program (Band 3)
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:
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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.