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MLM717 - 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
EFTSL value:0.125
Unit Chair:Trimester 2: Zehra Kavame Eroglu

For students enrolled in M729: MLJ701 and MLJ715

All other students: MLC707

Incompatible with: Nil
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:

2h class + 1h seminar per week

Scheduled learning activities - cloud:

2h class (recordings provided) + 1h online seminar per week


This unit gives students an advanced and integrated understanding of Financial Services Regulation in Australia. Over the course of a trimester, students will gain a wealth of knowledge and critical perspectives on current and emerging legal and policy issues relating to the financial services industry.


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 an advanced knowledge of statutory provisions, case law and principles in the field of financial services regulation in order to solve complex 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 complex 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, in the context of a critical appreciation of 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) _ based on a case study 4000 words 40% Week 7
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: MLM717 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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