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


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
Not available in 2024UWA (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
20820 Juris Doctor
and LAWS4101 Foundations of Law and Lawyering
and 30 points ( LAWS4102 Criminal Law
, LAWS4103 Contract
, LAWS4104 Property
, LAWS4106 Torts
, LAWS4107 Land Law
, LAWS4108 Foundations of Public Law and ( LAWS4109 Legal Theory and Ethics
or LAWS4110 Interpretation
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.
  • 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.