Law of Financial Services PG (11789.1)
|Available teaching periods||Delivery mode||Location|
|View teaching periods|| Flexible
| Bruce, Canberra
|0.125||3||Faculty Of Business, Government & Law|
|Discipline||Study level||HECS Bands|
|Canberra Law School||Post Graduate Level|| Band 4 2021 (Commenced After 1 Jan 2021)
Band 4 2021 (Commenced After 1 Jan Social Work_Exclude 0905)
Band 5 2021 (Commenced Before 1 Jan 2021)
Learning outcomesOn successful completion of this unit students will be able to:
1. Critically evaluate legal and regulatory environment for the provision of financial services, with emphasis on professional expectations in ethics and independence and broader social and political context for providing financial services;
2 Exercise critical thinking in the application of relevant law and regulatory standards in giving advice to clients; and
3. Exercise judgement in giving advice to clients and in the assessment of regulatory risk.
Graduate attributes1. UC graduates are professional - communicate effectively
1. UC graduates are professional - use creativity, critical thinking, analysis and research skills to solve theoretical and real-world problems
1. UC graduates are professional - display initiative and drive, and use their organisation skills to plan and manage their workload
2. UC graduates are global citizens - behave ethically and sustainably in their professional and personal lives
2. UC graduates are global citizens - think globally about issues in their profession
3. UC graduates are lifelong learners - adapt to complexity, ambiguity and change by being flexible and keen to engage with new ideas
Prerequisites6225 Business Law G
Incompatible units11573 Law of Financial Services
|Year||Location||Teaching period||Teaching start date||Delivery mode||Unit convener|
|2023||Bruce, Canberra||Semester 1||06 February 2023||Flexible||Dr Jenny Fu|
|2024||Bruce, Canberra||Semester 1||05 February 2024||On-Campus||Dr Jenny Fu|
|2024||Bruce, Canberra||Semester 1||05 February 2024||Online||Dr Jenny Fu|
Lists of required texts/readings
- Corporations Act 2001 (Cth) (Butterworths, 2022)
- Melissa Naylor, Law of Investments and Financial Markets (Thomson Reuters, 3rd ed, 2019).
- Ashley Black and Pamela Hanrahan, Securities and Financial Services Law (LexisNexis Butterworths, 10th ed, 2021)
The recommended text (Authors: Ashley Black and Pamela Hanrahan) provides students with more detailed reference material than is generally required for the purposes of this unit, but it does provide a detailed commentary on the findings of the Banking Royal Commission (2018) and is a very authoritative resource. Students will need constant access throughout the semester to a current copy of the relevant legislation above (i.e. the Corporations Act 2001 (Cth)). Please note also that in the first weeks of this unit additional materials will be provided to students by the lecturer via Canvas.
Inclusion and engagement
Attendance for face to face students is expected for programmed activities. Contributions to face to face activities are an important measure for assessment of participation in this unit. The onus is upon individual students to contact the unit convener if they experience difficulties in participating.
Required IT skills
Students must be sufficiently capable in the use of computers to undertake legal research on the internet, and to provide written assignments. All students should have e-mail communication with the unit convenor, tutor and the Faculty. You are also expected to have or gain the ability to use Canvas.
No additional text required
Work placement, internships or practicums
None - Not relevant in this unit
- Where required, further details concerning information in this unit outline will be supplied via the Canvas site for this unit.
- Notices given in class or via Canvas will be deemed to be given to the whole class.
- Your learning in this unit is supported by Canvas. Your use of Canvas can be monitored and reported to the unit convenor.