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MLL329 - Financial Services Regulation


2020 unit information

Important Update:

Classes and seminars in Trimester 2, 2020 will be online.

Last updated: 2 June 2020

Enrolment modes:Trimester 2: Burwood (Melbourne), Cloud (online)
Credit point(s):1
Previously coded as:MLL229
EFTSL value:0.125
Unit Chair:Trimester 2: Zehra Gulay Kavame Eroglu

Students enrolled in M312, D312, D322, D323, D331, D335, D396 before 2019: MLL110

Students commencing M312, D312, D322, D323, D331, D335, D396 from 2019: MLL110 and MLL113

M300 students: Nil

Corequisite:MLC203, MLL331
Incompatible with: MLL229
Typical study commitment:

Students will on average spend 150 hours over the teaching period undertaking the teaching, learning and assessment activities for this unit.

Scheduled learning activities - campus:

2 hour class plus 1 hour seminar per week

Scheduled learning activities - cloud:

2 hour class (recordings provided) plus 1 hour online seminar per week


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.


These are the Learning Outcomes (ULO) for this Unit
At the completion of this Unit, successful students can:

Deakin Graduate Learning Outcomes


Demonstrate a knowledge of the theories and principles of financial services regulation.

GLO1: Discipline-specific knowledge and capabilities


Demonstrate a broad-based knowledge of statutory provisions, case law and principles in the field of financial services regulation in order to solve problems.

GLO1: Discipline-specific knowledge and capabilities
GLO5: Problem solving


Demonstrate an in-depth knowledge of the financial regulation regime in Australia, as well as the recent domestic and international practices of financial services regulation in order to solve problems.

GLO1: Discipline-specific knowledge and capabilities
GLO5: Problem solving
GLO8: Global citizenship


Identify and address the critical issues surrounding financial services regulation, such as finance industry self-regulation, regulation and deregulation, financial disclosure regulation, and global trends in financial regulation.

GLO4: Critical thinking
GLO8: Global citizenship

These Unit Learning Outcomes are applicable for all teaching periods throughout the year


Assessment Description Student output Grading and weighting
(% total mark for unit)
Indicative due week
Assessment 1 (Individual) – Report (Research) 3000 words 40% Week 8
Examination (open book) 2 hours 60% Exam Period

The assessment due weeks provided may change. The Unit Chair will clarify the exact assessment requirements, including the due date, at the start of the teaching period.

Learning Resource

The texts and reading list for the unit can be found on the University Library via the link below: MLL329 Note: Select the relevant trimester reading list. Please note that a future teaching period's reading list may not be available until a month prior to the start of that teaching period so you may wish to use the relevant trimester's prior year reading list as a guide only.

Unit Fee Information

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