Not currently offered
Course code



10 units


6000 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 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 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 and integrated knowledge and understanding of the theories and origins of financial services regulation.

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

3. Apply acquired specialist legal knowledge through in depth analysis of practical problem cases.

4. Critically 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 Juris Doctor/ Graduate Diploma in Legal Practice or Master of Laws programs.

Assumed knowledge


Assessment items

Essay: Research Essay

Formal Examination: Examination: Formal

Participation: Group/tutorial participation and contribution