Issues in Commercial and Financial Services Law
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Online and other materials
Subjects may require attendance
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Upon completion of this subject, students will be able to:
- demonstrate an advanced understanding of aspects of the Australian legal system, its sources of law, and how the system operates in relation to regulating business and commercial activities;
- use cognitive and creative skills to exercise critical thinking and judgment in demonstrating the application of principles of relevant case law and legislation to particular sets of facts;
- demonstrate an advanced understanding of how the legal system operates in relation to regulating business and commercial activities; and also develop and present skilled analysis of the advantages and disadvantages of business structure choices; and
- identify and critically analyse, synthesise, and consolidate a persuasive and coherent legal argument that applies the principles of corporations law, especially corporate governance rules, to complex fact situations and identify remedies available for their enforcement.
- identify the Chapter 7 obligations for retail clients for the use of FSG and SoA; as well as the consequences for breach reporting; the penalty regime and compliance with AML/CTF, as well as the privacy laws.
- Topics will be available to enrolled students in the subjects Learning Management System site approximately one week prior to the commencement of the teaching period.
In order to enrol in this subject, you must be accepted into one of the following degrees:
- EquipmentDetails - Headphones or speakers (required to listen to lectures and other media) Headset, including microphone (highly recommended) Webcam (may be required for participation in virtual classrooms and/or media presentations).
- SoftwareDetails - It is essential for students to have reliable internet access in order to participate in and complete your units, regardless of whether they contain an on campus attendance or intensive school component. For additional information please visit UNE Hardware Requirements: https://www.une.edu.au/current-students/support/it-services/hardware
- TravelDetails - Travel may be required to attend the Final Examination for this subject.
- OtherDetails -
Textbook information is not available until approximately 8 weeks prior to the commencement of the Teaching period.
Students are expected to purchase prescribed material.
Textbook requirements may vary from one teaching period to the next.
This subject is available to non-law students only. It provides students with foundational information on the Australian legal system and legal principles of relevance to commercial relationships. Specifically focusing on financial planning and advising under Chapter 7 of the Corporations Act 2001 (Cth). The topics covered include: the Australian legal system; an overview of the law of torts and property law; an overview of contract law; an overview of consumer law; business structures and the law of agency; structure of companies; corporate governance; corporate liability; corporate finance; and financial services law. Chapter 7 of the Corporations Act 2001 (Cth); the information content of a financial services guide and the requirements for issuing a statement of advice; an overview of the requirements of anti-money laundering regulations and the implications of privacy laws for issuing financial planning advice.
Written Assignment: 3,000 words; 40%; LOs 1-5 Open Book Examination: 2,000 words; 60%; LOs 1-5 The exam will be offered online with supervision via webcam and screen sharing technology. UNE manages supervised exams associated with your UNE subjects. Prior to census date, UNE releases exam timetables. They’ll email important exam information directly to your UNE email address.
- Written Assignment (40%%)
- Open Book Examination (60%%)