There are now 3 possible online modes for units:
Units with modes Online timetabled and Online flexible are available for any student to self-enrol and study online.
Units available in Online Restricted mode have been adapted for online study only for those students who require the unit to complete their studies and who are unable to attend campus owing to exceptional circumstances beyond their control. To be enrolled in a unit in Online Restricted mode, students should contact their Student Advising Office through askUWA
Click on an offering mode for more details.
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.
- 6 points
Availability Location Mode Not available in 2023 UWA (Perth) Face to face
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.
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
- Enrolment in
Approved quota: 60—first come first servce
- 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.
- Unit readings, including any essential textbooks, are listed in the unit outline for each unit, one week prior the commencement of study. The unit outline will be available via the LMS and the UWA Handbook one week prior the commencement of study. Reading lists and essential textbooks are subject to change each semester. Information on essential textbooks will also be made available on the Essential Textbooks. This website is updated regularly in the lead up to semester so content may change. It is recommended that students purchase essential textbooks for convenience due to the frequency with which they will be required during the unit. A limited number of textbooks will be made available from the Library in print and will also be made available online wherever possible. Essential textbooks can be purchased from the commercial vendors to secure the best deal. The Student Guild can provide assistance on where to purchase books if required. Books can be purchased second hand at the Guild Secondhand bookshop (second floor, Guild Village), which is located on campus.
Face to face
Predominantly face-to-face. On campus attendance required to complete this unit. May have accompanying resources online.
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.
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.
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.
No attendance or regular contact is required, and all study requirements are completed either via correspondence and/or online submission.
Regular attendance is not required, but student attends the institution face to face on an agreed schedule for purposes of supervision and/or instruction.
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.