Law of Investments and Financial Markets - 2018

Unit summary


  • Level of Study: Undergraduate Level 2
  • Study load: 0.125 EFTSL
  • Delivery method: Fully Online
  • Prerequisites: Yes
  • Duration: 13 weeks
  • Government loans available: FEE-HELP, HECS-HELP
  • Availability for 2017: SP1 , SP3
  • Availability for 2018: SP1 , SP3
  • Assessment: Assessment - discussion board (15%) , Assignment (35%) - Learn more

Unit provided by

2018 Fees
Domestic 1,369.00
HECS 1,368.00
International 1,619.00

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.

At the completion of this unit students will:

  1. Become familiar with the current financial services regulatory framework, key legal concepts and legal issues relevant to the financial services sector.
  • Assessment — discussion board (15%)
  • Assignment (35%)
  • Open Book Invigilated Exam (50%)
For more information on invigilated exams see Exams and results

Recommended prerequisites

You are recommended to have completed the following unit(s) or have equivalent knowledge before starting this unit:

  • Additional materials

This unit addresses the following topics.

1Introduction - the regulatory framework
2Common law framework and market participants
3Statutory regulation and financial services
4Consumer protection and financial services
5Managed investments
6Lending and securities - equities
7Secured unsecured lending - debentures and charges
8Property and mortgages
9Estate planning and administration
10Introduction to insolvency

This unit is delivered using the following methods and materials:

Online materials

  • Printable format materials

This unit is a core requirement in the following courses:

This unit may be eligible for credit towards other courses:

  1. 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.
  2. 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 Co-Op textbook list.

Textbook information for this unit is currently being updated and will be available soon. Please check back regularly for updates. Alternatively, visit the The Co-op website and enter the unit details to search for available textbooks.

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