Law of Investments and Financial Markets
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Level of study: What does Undergraduate Level 2 mean?
Undergraduate Level 2
EFTSL: What does EFTSL mean?
Delivery Method: What does delivery method mean?
Availability: What is a Study period?For enrolment (2012): For forward planning* (2013): What is Forward Planning?
Government loans available:
- Domestic student fee:
- $1,178.00 (AUD)
- International student fee:
- $1,403.00 (AUD)
Understand the law pertaining to the liability and regulation of financial planners and investment advisers, regulation of the capital markets of Australia and duties in relation to non-public investments. You will address common law duties, the liabilities of market participants, statutory duties and liabilities of financial advisers, plus chapters 5C, 6D and 7 of the Corporations Act, the ASIC Act and the enforcement and disciplinary powers of regulatory authorities. In this unit you will become familiar with the current regulatory framework, key legal concepts and legal issues relevant to financial advisers.
You must have successfully completed the following unit(s) before starting this unit:
- BLW14 — Business Law
- FNP11 — Personal Wealth Management (Previously Introduction to Financial Planning)
If you have completed equivalent study at another university, please contact a Student Advisor for advice.
- Assignment (30%)
- Invigilated Exam (70%)
In this subject you will become familiar with the current financial services regulatory framework, key legal concepts and legal issues relevant to the financial services sector.
This unit addresses the following topics.
|1||Introduction - the regulatory framework|
|2||Common law framework and market participants|
|3||Statutory regulation and financial services|
|4||Consumer protection and financial services|
|6||Lending and securities - equities|
|7||Secured unsecured lending - debentures and charges|
|8||Property and mortgages|
|9||Estate planning and administration|
|10||Introduction to insolvency|
This unit is delivered using the following methods and materials:
Print based materials
- Welcome Letter
- Printable format materials
Textbooks are subject to change within the academic year. Students are advised to purchase their books no earlier than one to two months before the start of a unit.
Click on the titles of the listed books below to find out more:
This unit is a core requirement in the following courses:
This unit may be eligible for credit towards other courses:
- Many undergraduate courses on offer through OUA include 'open elective' where any OUA unit can be credited to the course. You need to check the Award Requirements on the course page for the number of allowed open electives and any level limitations.
- In other cases, the content of this unit might be relevant to a course on offer through OUA or elsewhere. In order to receive credit for this unit in the course you will need to supply the provider institution with a copy of the Unit Profile in the approved format, which you can download here. Note that the Unit Profile is set at the start of the year, and if textbooks change this may not match the Unibooks textbook list.
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