LAWS3141/JURD7541 Securities and Financial Services Regulation

Student: David Frew

Please give us a brief overview of the main topics studied in the course
Securities and Financial Market regulation covers regulation in a very broad sense, addressing the ‘what’, ‘why’ and ‘how’ of regulation generally, and then specifically in relation to financial markets and financial products. The specifics of management, including disclosure and the role of ASIC are intensely examined, and the research assignment allows for an extremely deep analysis of a pertinent issue.

What were the course assessments and your thoughts about them?
Other than class participation, the two major assignments for this course include a 60% research essay, 3000 words as a single person or 6000 as part of a pair, and an exam during the exam period. The research essay may sound daunting at 6000 words, but as part of a pair it allows you to explore an issue with the level of depth it deserves. The essay was an interesting challenge, though the content of the course itself allows for an examination.

What did you like about the course?
The course provides an extremely useful analysis of not only the securities market and how it is regulated, but also the nature of regulation generally. This is an extremely useful course.

What could be improved?
The only danger of the course is the large quantity of case readings and readings generally that are useful if not essential; some topics require wrapping a wet towel around your head and reading until you understand.

Do you have any other thoughts or comments?
If you enjoyed BA in a theoretical manner, or if you intend to go into banking or finance law, then this subject will be interesting and useful to you.