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Law of Investments and Financial Markets
Undergraduate | RMI-FNP22 | 2018
Course information for 2018 intake
Outline the regulatory frameworks that impact the financial services industry.
Dig into key chapters of the Corporations Act and the ASIC Act. Explore financial advisors' statutory duties. Broaden your knowledge of mortgages and estate planning.
- Study method
- 100% online
- Assessments
- Subject may require attendance
- Entry requirements
- Prior study needed
- Duration
- 13 weeks
HECS-HELP and FEE-HELP available
Law of Investments and Financial Markets
About this subject
At the completion of this subject students will:
- Become familiar with the current financial services regulatory framework, key legal concepts and legal issues relevant to the financial services sector.
- 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
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.
- Group Assignment (30%)
- Discussion board contribution (20%)
- Take home exam (50%)
For textbook details check your university's handbook, website or learning management system (LMS).
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Entry requirements
Prior study
To help set you up for success before you start this subject, we suggest completing or having equivalent knowledge in:
Additional requirements
No additional requirements
Study load
- 0.125 EFTSL
- This is in the range of 10 to 12 hours of study each week.
Equivalent full time study load (EFTSL) is one way to calculate your study load. One (1.0) EFTSL is equivalent to a full-time study load for one year.
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