MLL329 - Financial Services Regulation


2023 unit information

Enrolment modes: Trimester 2: Burwood (Melbourne), Online
Credit point(s): 1
Previously coded as: MLL229
EFTSL value: 0.125

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
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 (online)

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.

Unit Fee Information

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