LLAW3260 Securities Regulation

2016

4.5

1 x 4-day seminar per semester

1 Admission into BLAWLP-Bachelor of Laws and Legal Practice
1a Admission into BLAWLPG-Bachelor of Laws and Legal Practice (Graduate Entry)
1b Admission into BLAWLPR-Bachelor of Laws and Legal Practice
1c Admission into BLAWLPRG-Bachelor of Laws and Legal Practice (Graduate Entry)
1d Admission into BLAWLPRH-Bachelor of Laws and Legal Practice (Honours)
1e Admission into BLAWLPRGH-Bachelor of Laws and Legal Practice (Graduate Entry) (Honours)
2 1 of LLAW3211, LLAW3102
3 1 of BUSN2042, BUSN2018, COMM2006
4 Admission into BCOM-Bachelor of Commerce
4a Admission into BIB-Bachelor of International Business
4b Admission into BBUS-Bachelor of Business
4c Admission into BCOMAC-Bachelor of Commerce (Accounting)
4d Admission into BCOMAF-Bachelor of Commerce (Accounting/Finance)
4e Admission into BCOMAL-Bachelor of Commerce (Advanced Leadership)
4f Admission into BCOMFE-Bachelor of Commerce (Finance/Economics)
4g Admission into BCOMFN-Bachelor of Commerce (Finance)
4h Admission into BCOMWS-Bachelor of Commerce
4i Admission into BBUSAL-Bachelor of Business (Advanced Leadership)
4j Admission into BBUSBE-Bachelor of Business (Business Economics)
4k Admission into BBUSEN-Bachelor of Business (Entrepreneurship)
4l Admission into BBUSHR-Bachelor of Business (Human Resource Management)
4m Admission into BBUSIB-Bachelor of Business (International Business)
4n Admission into BBUSMG-Bachelor of Business (Management)
4o Admission into BBUSMK-Bachelor of Business (Marketing)
4p Admission into BBUSWS-Bachelor of Business
Must Satisfy: (((1 or 1a or 1b or 1c or 1d or 1e) and 2) or (3 and (4 or 4a or 4b or 4c or 4d or 4e or 4f or 4g or 4h or 4i or 4j or 4k or 4l or 4m or 4n or 4o or 4p)))

LLAW3056 has been successfully completed

A study of Australian securities laws and the industry which they regulate. The emphasis will be on the distribution process and the trading of securities. Subjects considered will include the role of the Australian Securities Commission, disclosure and reporting obligations, broker-dealer regulation, the self-regulatory function of the Australian Stock Exchange, the regulation of the secondary market industry take overs, insider trading and other types of securities fraud, globalisation of the securities markets and civil and criminal liabilities for securities law violations.

This topic aims to:

• provide students with an understanding of the legal aspects of the regulation of the securities industry
• provide students with the ability to recognise legal issues when they arise in the securities industry and to research solutions to those issues where appropriate
• promote group learning and interaction so that students may benefit from each other's knowledge and experience
• ensure that students have the opportunity to become proficient in a range of communication media including verbal presentations, problem-solving and written assessment using advanced research and presentation technologies relevant to their careers

Upon successful completion of this topic, students will be able to demonstrate knowledge and skills in:

• describing the regulation of the securities industry
• identifying the legal issues in given situations
• analysing the legal issues in given situations
• determining the most appropriate course of action for dealing with the legal issues in given situations
• explaining the importance of the regulatory environment
• describing the scope and powers of the regulators ASIC and the ASX
• identifying the ethical issues facing securities industry personnel
• applying the precepts governing the relationship between securities professionals and their clients
• applying the laws relating to capital raisings and market manipulation
• applying the laws relating to takeovers and mergers
• using a range of communication media including verbal presentations, problem-solving and written assessment using advanced research and presentation technologies