MLL329 - Financial Services Regulation

Year: 2019 unit information
Credit point(s): 1
EFTSL value: 0.125
Unit chair:

Zehra Kavame Eroglu



Corequisite: Nil
Incompatible with: Nil
Contact hours:

Campus: 1 x 2 hour class and 1 x 1 hour seminar per week

Cloud(online): Learning resources are via CloudDeakin


This unit is designed to provide a broad overview of legal and policy issues relevant to lawyers, financial sector players, regulators, and policy makers. Financial services is one of the fastest growing sectors in the Australian and global economy. In the past decade, the global financial crisis has created new challenges for financial market participants and other stakeholders. Australia has accordingly developed a new regime to regulate all financial services. These developments require careful examination of the legal and policy issues associated with financial services regulation. This unit aims to equip students with a thorough understanding of the regulatory theories, regulatory institutions and relevant statutory provisions.


A wide range of topics will be covered, including global financial crisis in the 21st century, financial services and market, theories of financial regulation, financial services reforms in Australia, regulatory bodies and financial service providers, disclosure of financial and non-financial information, and the critical issues of compliance, enforcement, and remedies.


Assessment 1 (Individual) – Policy-based Research Paper (3000 words) – 40%
Examination (open book) –  2 hours - 60%

Unit Fee Information

Click on the fee link below which describes you: