Law of Financial Services PG (11789.1)
| Available teaching periods | Delivery mode | Location |
|---|---|---|
| View teaching periods | On-campus Online |
Bruce, Canberra |
| EFTSL | Credit points | Faculty |
| 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 outcomes
On 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 attributes
1. UC graduates are professional - communicate effectively1. 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
Prerequisites
6225 Business Law GCorequisites
None.Incompatible units
11573 Law of Financial ServicesEquivalent units
None.Assumed knowledge
None.| Year | Location | Teaching period | Teaching start date | Delivery mode | Unit convener |
|---|---|---|---|---|---|
| 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 |
| 2025 | Bruce, Canberra | Semester 1 | 03 February 2025 | On-campus | Dr Geoff Nicoll |
Required texts
Lists of required texts/readings
Prescribed Texts
- Melissa Naylor, Law of Investments and Financial Markets (Thomson Reuters, 3rd ed, 2019).
Recommended Texts
- 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 and is a very authoritative resource. Students will also need constant access throughout the semester to a current copy of the relevant legislation (i.e. the Corporations Act 2001 (Cth)) which is freely available online. Additional materials will be provided to students by the lecturer via Canvas.
Students must apply academic integrity in their learning and research activities at UC. This includes submitting authentic and original work for assessments and properly acknowledging any sources used.
Academic integrity involves the ethical, honest and responsible use, creation and sharing of information. It is critical to the quality of higher education. Our academic integrity values are honesty, trust, fairness, respect, responsibility and courage.
UC students have to complete the Academic Integrity Module annually to learn about academic integrity and to understand the consequences of academic integrity breaches (or academic misconduct).
UC uses various strategies and systems, including detection software, to identify potential breaches of academic integrity. Suspected breaches may be investigated, and action can be taken when misconduct is found to have occurred.
Information is provided in the Academic Integrity Policy, Academic Integrity Procedure, and University of Canberra (Student Conduct) Rules 2023. For further advice, visit Study Skills.
Learner engagement
Not required
Inclusion and engagement
Not required
Participation requirements
Attendance is expected for programmed activities. 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.
Work placement, internships or practicums
None - Not relevant in this unit
Additional information
Additional information
- 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.
