Research paper No. Words: 2500

Assignment 1

Take Home Exam

candidature in JD or LLM or SJD prior to 2015; or candidature in LLM from 2015 (rule a or b - Australian); or candidature in LLM from 2015 (rule a or b - non-Australian) and LLM533 and LAW251; or candidature in LLM from 2015 (rule c) and 48cp including LLM533 and LAW251

TypeError

LLM504 - Securities and Financial Services Law

This unit provides an overview of the substantive provisions of securities and financial services regulation under the 'Corporations Act 2001' (Cth) and the 'Australian Securities and Investments' 'Commission Act 2001' (Cth).

You will explore legal and policy rationales relating to securities and financial services regulation, plus the regulation of offerings and dealings in securities and financial products, and regulation of market participants in the securities market in Australia.

You will also assess the role of the disclosure provisions and investor protection mechanisms for securities offerings and dealings.

Topics include securities and financial services regulation in Australia, legal nature of shares, debentures, managed investment schemes, derivatives, intermediaries, financial market and operating rules as well as roles, powers and functions of the Australian Securities and Investments Commission (ASIC), liabilities and remedies, insider trading and takeovers. Offerings: All

Securities and Financial Services Law

use initiative and judgement to critically evaluate the strengths and weaknesses of the relevant regulation to deal with complex problems in the operation and enforcement of the securities and financial services law; and potential new directions in the development of securities and financial services law;

demonstrate highly-developed skills to identify legal issues and create solutions to novel or problematic factual situations by applying the relevant case law and the relevant legislation, particularly that relating to market misconduct provisions; and

demonstrate advanced cognitive and legal skills, initiative, high level professional judgement to produce clear and coherent written solutions that are based upon expert analysis, synthesis, and the application of professional judgment, to securities and financial services issues in appropriate scholarly and professional formats.

demonstrate an advanced and integrated understanding of the fundamental principles and rationales of securities and financial services law regulation in Australia;

UNE Course Handbook

LLM504 - Securities and Financial Services Law

Unit

6 Credit Points