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Unit of study_

LAWS6264: Compliance: Financial Services Industry

2024 unit information

The unit will examine in detail the legal and regulatory requirements relevant to the financial services industry, and how the risk of breaching those requirements can be managed by compliance systems. It will focus not only on legal theory but also on the practical day to day business issues involved with compliance.The unit is divided into two parts: (a) Core compliance issues: licensing of financial service providers; compliance systems; insider trading and Chinese walls; market conduct rules; shareholding restrictions; trade practices; anti-money laundering, counter-terrorism financing and other measures to combat crime; retail customer obligations; marketing financial products; client money rules; privacy; fiduciary duties and conflicts of interest; confidentiality; phone taping; and investigating compliance breaches (including reporting obligations and HR issues); and (b) Specialist compliance issues relevant to: managed investments; deposit products, non cash payment facilities; credit facilities, stockbroking; derivatives; warrants; foreign exchange; futures broking; financial planning; margin lending; insurance and insurance broking; superannuation and retirement savings accounts. Further information about this unit is available in the Sydney Law School timetable, unit of study outline and academic staff profile

Unit details and rules

Managing faculty or University school:


Code LAWS6264
Academic unit Law
Credit points 6
Assumed knowledge:

At the completion of this unit, you should be able to:

  • LO1. critique the operations of the regulatory regime of Chapter 7 of the Corporations Act across varied transactions and businesses within the financial services industry.
  • LO2. evaluate stakeholder perspectives and formulate balanced judgments on the applicability of financial services regulation in a range of situations involving providers and clients of financial services and financial products.
  • LO3. construct solutions by applying relevant financial services provisions to a range of common scenarios involving financial services and financial products.

Unit availability

This section lists the session, attendance modes and locations the unit is available in. There is a unit outline for each of the unit availabilities, which gives you information about the unit including assessment details and a schedule of weekly activities.

The outline is published 2 weeks before the first day of teaching. You can look at previous outlines for a guide to the details of a unit.

Session MoA ?  Location Outline ? 
Intensive September 2024
Block mode Camperdown/Darlington, Sydney
Outline unavailable
Session MoA ?  Location Outline ? 
Semester 2b 2022
Block mode Remote
Intensive September 2023
Block mode Camperdown/Darlington, Sydney

Modes of attendance (MoA)

This refers to the Mode of attendance (MoA) for the unit as it appears when you’re selecting your units in Sydney Student. Find more information about modes of attendance on our website.