Not currently offered
Course code



10 units


5000 level

Course handbook


This course provides students with an overview of the legal regime covering the regulation of financial services. It will equip students with a thorough knowledge of the relevant regulatory theories, regulatory institutions and relevant statutory provisions. Topics covered will include banking and negotiable instruments law, guarantees, and credit. The course will also expose students to the legal provisions pertinent to the reporting of financial information, regulation and conduct of financial advisors and planners, and enforcement of sanctions.


Not currently offered.

This Course was last offered in Semester 2 - 2015.

Learning outcomes

On successful completion of the course students will be able to:

1. Demonstrate advanced knowledge of the theories and origins of financial services regulation.

2. Demonstrate advanced knowledge of statutory provisions, case law and practice on various aspects of financial services regulation in Australia including financial reporting, regulation and conduct of advisors and planners, banking, negotiable instruments, and credit.

3. Apply acquired legal knowledge in solving practical problem cases.

4. Evaluate key policy debates surrounding future development of international and domestic financial services regulation and enforcement.


The topics in this course include the following:

  1. Origin, functions and main principles of financial regulation;
  2. Applicable domestic and international legal rules, their history and principles;
  3. Legal provisions applicable to financial reporting;
  4. Financial advisors and planners;
  5. Banking law;
  6. Negotiable instruments;
  7. Letters of credit and guarantees;
  8. Enforcement of relevant regulation and sanctions


This course is only available to students enrolled in the Bachelor of Laws and associated combined degree programs or Bachelor of Laws (Honours) and associated combined degree programs.

Assumed knowledge

LAWS1001A and LAWS1001B

Assessment items

Essay: Research Essay

Formal Examination: Examination: Formal

Participation: Group/tutorial participation and contribution

The University of Newcastle acknowledges the traditional custodians of the lands within our footprint areas: Awabakal, Darkinjung, Biripai, Worimi, Wonnarua, and Eora Nations. We also pay respect to the wisdom of our Elders past and present.