Studying online
There are now 2 possible online modes for units:
Units with modes Online timetabled and Online flexible are available for any student to self-enrol and study online.
Click on an offering mode for more details.
Unit Overview
- Description
The law of securities regulation pertains to the rules of the public marketplace in which these products can be sold. The private marketplace for such products is, to a larger degree, unregulated (or deregulated or re-regulated in some cases) and is better studied in the context of units covering the areas of banking, securities, commercial law and international finance. This unit examines the regulation of Australian equity capital markets, with a particular focus on the ASX. Topics such as the ASX admission process, continuous disclosure, fundraising (including both initial public offerings and secondary raisings), common transactional issues, and the investigation and enforcement powers and process of ASX and ASIC, will be covered. This unit provides a blend of theory and practical learning whereby student will gain a working knowledge of the of the relevant sections of the Corporations Act 2001 (Cth) (Corporations Act), ASX Listing Rules and Guidance Notes, and ASIC regulatory guidance which largely regulate Australia's equity capital markets.
- Credit
- 6 points
- Offering
Availability Location Mode Not available in 2025 UWA (Perth) Face to face - Outcomes
Students are able to (1) describe the legal and regulatory framework relevant to the regulation of equity capital markets; (2) demonstrate practical skills relating to the process for admission to the Australian Securities Exchange
; (3) demonstrate the ability to navigate common issues facing listed entities like the continuous disclosure regime and fundraising; (4) describe the professional and ethical responsibilities regarding the regulation of equity capital markets; and (5) analyse legal issues arising in relation to the regulation of equity capital markets.
- Assessment
Indicative assessments in this unit are as follows: (1) participation; (2) written report; and (3) assignment. Further information is available in the unit outline.
Student may be offered supplementary assessment in this unit if they meet the eligibility criteria.
- Unit Coordinator(s)
- Scott Gibson
- Unit rules
- Prerequisites
- Enrolment in )
Approved quota: 60—first come first servce - Note
- This unit is only available to postgraduate law students and not to postgraduate business students who should take LAWS5508 Commercial and Company Law instead.
- The availability of units in Semester 1, 2, etc. was correct at the time of publication but may be subject to change.
- All students are responsible for identifying when they need assistance to improve their academic learning, research, English language and numeracy skills; seeking out the services and resources available to help them; and applying what they learn. Students are encouraged to register for free online support through GETSmart; to help themselves to the extensive range of resources on UWA's STUDYSmarter website; and to participate in WRITESmart and (ma+hs)Smart drop-ins and workshops.
- Visit the Essential Textbooks website to see if any textbooks are required for this Unit. The website is updated regularly so content may change. Students are recommended to purchase Essential Textbooks, but a limited number of copies of all Essential Textbooks are held in the Library in print, and as an ebook where possible. Recommended readings for the unit can be accessed in Unit Readings directly through the Learning Management System (LMS).
- Contact hours provide an indication of the type and extent of in-class activities this unit may contain. The total amount of student work (including contact hours, assessment time, and self-study) will approximate 150 hours per 6 credit points.
Face to face
Predominantly face-to-face. On campus attendance required to complete this unit. May have accompanying resources online.
Online flexible
100% Online Unit. NO campus face-to-face attendance is required to complete this unit. All study requirements are online only. Unit is asynchronous delivery, with NO requirement for students to participate online at specific times.
Online timetabled
100% Online Unit. NO campus face-to-face attendance is required to complete this unit. All study requirements are online only. Unit includes some synchronous components, with a requirement for students to participate online at specific times.
Online Restricted
Not available for self-enrolment. Students access this mode by contacting their student office through AskUWA. 100% Online Unit.
NO campus face-to-face attendance. All study and assessment requirements are online only. Unit includes some timetabled activities, with a requirement for students to participate online at specific times. In exceptional cases (noted in the Handbook) students may be required to participate in face-to-face laboratory classes when a return to UWA’s Crawley campus becomes possible in order to be awarded a final grade.
External
No attendance or regular contact is required, and all study requirements are completed either via correspondence and/or online submission.
Off-campus
Regular attendance is not required, but student attends the institution face to face on an agreed schedule for purposes of supervision and/or instruction.
Multi-mode
Multiple modes of delivery. Unit includes a mix of online and on-campus study requirements. On campus attendance for some activities is required to complete this unit.