Compliance Course

 


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Welcome to the home page for our course Compliance: Theory and Practice in the Financial Services Industry. The course is taught as part of the postgraduate program at the Sydney University Law School. For information about enrolling in the course, see the Sydney University Unit of Study Guide  or contact Sydney University Law School - Post Graduate Enrolments on (02) 9351 0267 and quote course number LAWS 6264.

   
  Notes for 2016 students:
    Nil
   
 

The goal of the course is to give students a thorough grounding in the compliance issues that arise in the financial services industry so that students:

    who work, or want to work, in an inhouse legal or compliance role in the financial services industry;
    who work, or want to work, for a regulator in the industry; or
    who are lawyers in private practice and who want to be able to give meaningful and practical advice to their financial services clients on their day to day compliance issues,
 

will have the knowledge and skills to do so.

The following course materials are available here:

 

 

Assignment - the assignment to be completed by students taking the course for assessment.

 

 

Course Outline - a bullet point summary of the topics covered in each lecture in the course.

 

 

Glossary of Abbreviations - a glossary of the abbreviations used in the lecture slides (predominantly for the benefit of foreign students).

 

 

Lecture Slides - annotated copies of the lecture slides used in the course:

    1.  Licensing
    2.  The Role of Compliance
    3.  Insider Trading and Chinese Walls
    4.  Market Conduct Rules
    5.  Shareholding Restrictions
    6.  Competition and Consumer Law
    7.  Combating Crime
    8A.  Retail Customer Obligations
    8B.  Marketing Financial Products
    9.  Miscellaneous Compliance Issues
    10.  Managed Investments
    11A.  Deposit Products and Non-Cash Payment Facilities
    11B.  Credit Facilities
    11C.  Margin Lending
    11D.  ASX Stockbroking
    12A.  Derivatives
    12B.  Warrants
    12C.  ASX 24 Futures Broking
    12D.  Foreign Exchange
    12E.  Financial Planning

 

 

13. 

Insurance, Superannuation and RSAs

 

 

Past Exam Papers - copies of past exam papers for the course (note: the course was not taught in 2006 or 2007 and exam papers for 2009 and onwards are not available as I now recycle the same exam paper):

      November 2002 + sample answer to problem question
      November 2003
      November 2004
      November 2005

 

   

November 2008 + sample answer to problem question

 

 

Reading List - a list of compulsory and recommended reading materials for each lecture in the course, with hyperlinks.

 

 

Timetable - the timetable for the course.

Link to Inhouse Legal Solutions Library - from here, students are able to access all of the statutes, FSR materials, ASIC Regulatory Guides, ASX Listing Rules, ASX Operating Rules and ASX 24 Operating Rules referred to in the lecture notes. There are also links to various legal databases and web search engines.

Link to Sydney Law School Library

Link to AustLII

Link to ComLaw

  


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