Overview
The course considers the main techniques of financial regulation: disclosure, licensing, prohibitions of market misconduct, self regulation and powers of investigation and enforcement. It considers the rules and practices constituting financial regulation, the market institutions and regulatory context in which it operates and the additional insights we gain from contemporary … For more content click the Read More button below.
Main Topics
Institutions and sources of Australian financial regulationThe nature and effect of regulation and the main theoretical perspectives on regulationWhat are we regulating: financial products, financial markets and financial servicesProspectus and retail disclosureLicensing of financial markets and intermediariesCustomer agreements: traditional advisory and with online brokersMarket manipulationRegulator's remedies: criminal, civil penalties and enforceable undertakingsPlaintiff's remedies: curial actions, industry based dispute resolutionFinancial regulation in future
Conditions for Enrolment
Prerequisite: Completion of 36 UOC of JURD courses including BA (JURD7224) and Admin. Law (JURD7160) for students enrolled prior to 2013. For students enrolled after 2013, completion of 72 UOC of JURD courses including BA and Admin. Law.
Course Outline
To access course outline please visit below link (Please note that access to UNSW Canberra course outlines requires VPN):
Pre-2019 Handbook Editions
Access past handbook editions (2018 and prior)