Law & Business Seminar: Globalization and Securities Regulation

12 April 2017


Click here to register for this seminar.

Please note: Individual online registrations MUST be paid by Mastercard or VISA. To pay by cheque or arrange a group registration, please email for an invoice. We apologise for any inconvenience.


Globalization and Securities Regulation

Speaker: Professor John Armour, University of Oxford

This seminar, which is based upon co-authored research by Professor Armour with Martin Bengtzen and Luca Enriques, will explore how globalization has affected the operation of securities markets and the challenges this poses for their regulation.

The landscape of global securities markets over the past 30 years has been dominated by three secular trends:- globalization; the growth of collective investment; and 'connectivity'—the use of technology seamlessly to link market participants. Together, these have reduced the attractiveness for issuers of listing abroad, and increased the attractiveness of using alternative domestic fora for capital-raising.

After briefly reviewing the mechanisms of international co-ordination in securities regulation, this seminar will explore the interface between rules governing market access and regulatory coordination. It will discuss the effects of globalization on the regulation, respectively, of primary markets, trading venues and intermediaries, together with issues of enforcement and extraterritoriality. The seminar will conclude with an overview of some of the key challenges faced by regulators as a result of globalization.

About the speaker
John Armour is Hogan Lovells Professor of Law and Finance at Oxford University and a Fellow of the European Corporate Governance Institute. He was previously a member of the Faculty of Law and the interdisciplinary Centre for Business Research at the University of Cambridge. He studied law (MA, BCL) at the University of Oxford and then at Yale Law School (LLM). He serves as an Executive Editor of the Journal of Corporate Law Studies and the Journal of Law, Finance and Accounting, and has been involved in policy-related projects commissioned by the UK's Department of Trade and Industry (now BIS), Financial Services Authority (now FCA) and Insolvency Service, the Commonwealth Secretariat, and the World Bank. He currently serves as a member of the European Commission's Informal Company Law Expert Group.

Kate O'Rourke, Senior Executive Leader - Corporations, ASIC


Registration (GST inclusive)
Full Fee: $77
Sydney Law School Alumni: $66
Sydney Law School Full Time Student: $44
Group 3+: $55

CPD Points: 1


Upcoming intensive course:

Principles of Financial Regulation

6, 7, & 10, 11 April

Engage with Professor Armour in this intensive course which examines the key principles underpinning financial regulation.

You can apply to study this intensive course with or without assessment.

Click here to apply.


Time: 5.30pm -6.45pm (light refreshments from 5pm)

Location: ASIC, level 5, 100 Market Street, Sydney

Cost: See above

Contact: Professional Learning & Community Engagement

Phone: 02 9351 0429

Email: 09151054004e031e3c1d013a4802182148634a36436a5925