Key facts
UNE unit code: LLM504
*You are viewing the 2026 version of this unit which may be subject to change in future.
- Not offered in 2026
- Yes
- No
- No
- 6
Unit information
This unit provides an overview of the substantive provisions of securities and financial services regulation under the Corporations Act 2001 (Cth) and the Australian Securities and Investments Commission Act 2001 (Cth).
You will explore legal and policy rationales relating to securities and financial services regulation, plus the regulation of offerings and dealings in securities and financial products, and regulation of market participants in the securities market in Australia.
You will also assess the role of the disclosure provisions and investor protection mechanisms for securities offerings and dealings.
Topics include securities and financial services regulation in Australia, legal nature of shares, debentures, managed investment schemes, derivatives, intermediaries, financial market and operating rules as well as roles, powers and functions of the Australian Securities and Investments Commission (ASIC), liabilities and remedies, insider trading and takeovers.
Intensive schools
There are no intensive schools required for this unit.
Enrolment rules
Notes
Please refer to the student handbook for current details on this unit.
Unit coordinator(s)
Learning outcomes
Upon completion of this unit, students will be able to:
- demonstrate an advanced and integrated understanding of the fundamental principles and rationales of securities and financial services law regulation in Australia;
- use initiative and judgement to critically evaluate the strengths and weaknesses of the relevant regulation to deal with complex problems in the operation and enforcement of the securities and financial services law; and potential new directions in the development of securities and financial services law;
- demonstrate highly-developed skills to identify legal issues and create solutions to novel or problematic factual situations by applying the relevant case law and the relevant legislation, particularly that relating to market misconduct provisions; and
- demonstrate advanced cognitive and legal skills, initiative, high level professional judgement to produce clear and coherent written solutions that are based upon expert analysis, synthesis, and the application of professional judgment, to securities and financial services issues in appropriate scholarly and professional formats.
Assessment information
Assessments are subject to change up to 8 weeks prior to the start of the teaching period in which you are undertaking the unit.
| Title | Must Complete | Weight | Offerings | Assessment Notes |
|---|---|---|---|---|
| Assignment 1 | Yes | 40% | All offerings | Research paper No. Words: 2500 |
| Take Home Exam | Yes | 60% | All offerings |
Learning resources
Textbooks are subject to change up to 8 weeks prior to the start of the teaching period in which you are undertaking the unit.
Textbook information will be displayed approximately 8 weeks prior to the commencement of the teaching period. Please note that textbook requirements may vary from one teaching period to the next.
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