LLM604 Securities and Financial Services Law

Updated: 02 December 2009

Credit Points	6
Offering	Not offered in 2010
Intensive School(s)	None
Supervised Exam	There is no UNE Supervised Examination.
Pre-requisites	LS291 or LS351 or LS391 and candidature in JD or LLM or SJD
Co-requisites	None
Restrictions	LS473
Notes	None
Combined Units	None
Coordinator(s)
Unit Description	This unit provides a detailed study of the substantive provisions of securities regulation under the Corporations Act 2001 (Cth) and the Australian Securities and Investments Commission Act 2001 (Cth). The unit focuses on the regulation of dealings in securities and looks at how the key securities provisions interact under the broader regulatory system governing the financial products, financial services and financial markets. It will assess the role of the prospectus provisions and the investor protection mechanisms that relate to securities dealing. The topics to be examined include shares, debentures, interests in a managed investment scheme, derivatives, intermediaries, financial market and operating rules, the Australian Securities and Investments Commission (ASIC), liabilities and remedies, insider trading and takeovers.
Materials	Information Unavailable
Disclaimer	Unit information may be subject to change prior to commencement of the teaching period.

Assessment

Title	Weight	No. Words
Assignment 1	80%	5000
Assessment Notes
Research paper

Discussion Group	20%
Assessment Notes
Discussion group participation

Relates to Learning Outcomes (LO) and Graduate Attributes (GA)
LO:

Learning Outcomes (LO)

Upon completion of this unit, students will be able to:

achieve an in-depth understanding of the major principles and rationales of securities and financial services regulation in Australia;
critically assess the complex problems in the operation and enforcement of the securities and financial services law in particular contexts;
demonstrate problem solving strategies to evaluate and solve novel or problematic factual situations which fall potentially within market misconduct provisions; and
identify new directions in the development of securities and financial services law in a variety of contexts.

Graduate Attributes (GA)

	Attribute	Taught	Assessed	Practised
1	Knowledge of a Discipline Graduates will be able to apply knowledge at an advanced level in professional contexts or to solve problems.
2	Communication Skills Graduates will be able to present well-reasoned arguments.
3	Global Perspectives Graduates will be able to demonstrate an awareness of the global context of their discipline and professional area.
4	Information Literacy Graduates will be able to critically evaluate information and the search process.
5	Life-Long Learning Graduates will be able to identify, evaluate and implement personal learning strategies for lifelong personal and professional development.
6	Problem Solving Graduates will be able to identify critical issues in the discipline or professional area.
7	Social Responsibility Graduates will be able to recognise social justice issues relevant to their discipline and professional area.

Course and Unit Catalogue 2010