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Subject details

  • Topics
    • Introduction - the regulatory framework
    • Common law framework and market participants
    • Statutory regulation and financial services
    • Consumer protection and financial services
    • Managed investments
    • Lending and securities - equities
    • Secured unsecured lending - debentures and charges
    • Property and mortgages
    • Estate planning and administration
    • Introduction to insolvency
  • Study resources
    • Online Materials
      • Printable format materials

At the completion of this subject students will:

  1. Become familiar with the current financial services regulatory framework, key legal concepts and legal issues relevant to the financial services sector.
  • Assignment 1 - discussion board (15%)
  • Assignment 2 - (35%)
  • Assignment 3 - (50%)

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 subject

Entry Requirements

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

Special requirements

No special requirements

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 subject you will become familiar with the current regulatory framework, key legal concepts and legal issues relevant to financial advisers.

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