MLL329 - Financial Services Regulation
Unit details
| Year | 2025 unit information |
|---|---|
| Enrolment modes: | Not offered in 2025 |
| Credit point(s): | 1 |
| EFTSL value: | 0.125 |
| Previously coded as: | MLL229 |
| Prerequisite: | LLB students enrolled before T1 2019: MLL110 LLB students enrolled from T1 2019: MLL110 and MLL113 All other students: Nil |
| Corequisite: | MLC203 or MLP331 |
| Incompatible with: | MLJ732 |
| Educator-facilitated (scheduled) learning activities - on-campus unit enrolment: | 1 x 2 hour on-campus lecture (recordings provided) and 1 x 1 hour on-campus seminar (recordings provided) each week |
| Educator-facilitated (scheduled) learning activities - online unit enrolment: | 1 x 2 hour online lecture (recordings provided) and 1 x 1 hour online seminar (recordings provided) each week |
| Typical study commitment: | Students will on average spend 150 hours over the teaching period undertaking the teaching, learning and assessment activities for this unit. This will include educator guided online learning activities within the unit site. |
Content
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.
Learning Outcomes
| ULO | These are the Unit Learning Outcomes (ULOs) for this unit. At the completion of this unit, successful students can: | Alignment to Deakin Graduate Learning Outcomes (GLOs) |
|---|---|---|
| ULO1 | Apply knowledge of the Australian financial services regulation regime, statutory provisions, case law and practices to solve complex problems. | GLO1: Discipline-specific knowledge and capabilities GLO5: Problem solving |
| ULO2 | Apply theories and principles of financial services regulation to identify and address critical issues surrounding financial services regulation | GLO4: Critical thinking |
| ULO3 | Identify and integrate international practices of, and global trends in, financial services regulation, when solving problems | GLO8: Global citizenship |
Assessment
| Assessment Description | Student output | Grading and weighting (% total mark for unit) | Indicative due week |
|---|---|---|---|
| Assessment 1: (Individual) Report (Research) | 3000 words | 40% | Week 8 |
| End-of-unit assessment task: Written | 2000 | 60% | End-of-unit assessment 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 MLL329 can be found via the University Library.
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
Fees and charges vary depending on the type of fee place you hold, your course, your commencement year, the units you choose to study and their study discipline, and your study load.
Tuition fees increase at the beginning of each calendar year and all fees quoted are in Australian dollars ($AUD). Tuition fees do not include textbooks, computer equipment or software, other equipment or costs such as mandatory checks, travel and stationery.
For further information regarding tuition fees, other fees and charges, invoice due dates, withdrawal dates, payment methods visit our Current Students website.