LAWCOMM 444 : Financial Markets Law
Law
2023 Semester Two (1235) (10 POINTS)
Course Prescription
Course Overview
A technical and practical examination of the law relating to financial markets in New Zealand, primarily focused on the Financial Markets Conduct Act 2013. It will consider the history of, and fundamental drivers for, the regulatory regime and enforcement framework that determine the approaches and activities of market participants and service providers. Key legislation, products, and services will be examined, together with consideration of local and international case studies to illustrate the driving principles that shape the legal framework which addresses the evolving landscape of financial markets.
Capabilities Developed in this Course
| Capability 1: | Disciplinary Knowledge and Practice |
| Capability 2: | Critical Thinking |
| Capability 3: | Solution Seeking |
| Capability 4: | Communication and Engagement |
| Capability 5: | Independence and Integrity |
Learning Outcomes
- Identify and evaluate the theoretical drivers for law and regulation in the context of financial markets. (Capability 1.1, 2.2 and 4.1)
- Identify and articulate applicable legal concepts from key legislation, regulations and case law that arise in relation to varied fact and context scenarios in order to reach reasoned solutions and make reasoned recommendations. (Capability 1.2, 1.3, 2.1, 2.2, 2.3, 3.1, 3.2, 3.3, 4.1 and 5.1)
- Evaluate competing approaches to legal issues arising within the financial markets sector. (Capability 1.1, 1.2, 1.3, 2.1, 2.2, 2.3, 3.3, 4.1 and 5.1)
- Demonstrate effective written communication skills (Capability 4.1 and 4.2)
Assessments
| Assessment Type | Percentage | Classification |
|---|---|---|
| Reflection Piece | 10% | Individual Coursework |
| Assignments | 20% | Individual Coursework |
| Final Exam | 70% | Individual Examination |
| 3 types | 100% |
| Assessment Type | Learning Outcome Addressed | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 1 | 2 | 3 | 4 | |||||||
| Reflection Piece | ||||||||||
| Assignments | ||||||||||
| Final Exam | ||||||||||
Workload Expectations
This is a standard 10-point course. There will be around 24 hours of lectures in this course. As a general guide, you should expect a workload of three hours outside of the classroom for each hour spent in class. The guideline for the total workload for this course is 100 hours.
Delivery Mode
Campus Experience
Attendance is expected at scheduled activities including seminars.
Lectures will be available as recordings. Other learning activities including seminars will not be available as recordings.
All students must be available to attend the final examination, which will be in person on campus.
The activities for the course are scheduled as a standard weekly timetable.
Learning Resources
Course materials are made available in a learning and collaboration tool called Canvas which also includes reading lists and lecture recordings (where available).
Please remember that the recording of any class on a personal device requires the permission of the instructor.
Student Feedback
At the end of every semester students will be invited to give feedback on the course and teaching through a tool called SET or Qualtrics. The lecturers and course co-ordinators will consider all feedback and respond with summaries and actions.
Your feedback helps teachers to improve the course and its delivery for future students.
Class Representatives in each class can take feedback to the department and faculty staff-student consultative committees.
Academic Integrity
The University of Auckland will not tolerate cheating, or assisting others to cheat, and views cheating in coursework as a serious academic offence. The work that a student submits for grading must be the student's own work, reflecting their learning. Where work from other sources is used, it must be properly acknowledged and referenced. This requirement also applies to sources on the internet. A student's assessed work may be reviewed against online source material using computerised detection mechanisms.
Class Representatives
Class representatives are students tasked with representing student issues to departments, faculties, and the wider university. If you have a complaint about this course, please contact your class rep who will know how to raise it in the right channels. See your departmental noticeboard for contact details for your class reps.
Inclusive Learning
All students are asked to discuss any impairment related requirements privately, face to face and/or in written form with the course director, lecturer or tutor.
Student Disability Services also provides support for students with a wide range of impairments, both visible and invisible, to succeed and excel at the University. For more information and contact details, please visit the Student Disability Services’ website http://disability.auckland.ac.nz
Special Circumstances
If your ability to complete assessed coursework is affected by illness or other personal circumstances outside of your control, contact a Student Academic and Support Adviser as soon as possible before the assessment is due.
If your personal circumstances significantly affect your performance, or preparation, for an exam or eligible written test, refer to the University’s aegrotat or compassionate consideration page https://www.auckland.ac.nz/en/students/academic-information/exams-and-final-results/during-exams/aegrotat-and-compassionate-consideration.html.
This should be done as soon as possible and no later than seven days after the affected test or exam date.
Learning Continuity
In the event of an unexpected disruption, we undertake to maintain the continuity and standard of teaching and learning in all your courses throughout the year. If there are unexpected disruptions the University has contingency plans to ensure that access to your course continues and course assessment continues to meet the principles of the University’s assessment policy. Some adjustments may need to be made in emergencies. You will be kept fully informed by your course co-ordinator/director, and if disruption occurs you should refer to the university website for information about how to proceed.
Student Charter and Responsibilities
The Student Charter assumes and acknowledges that students are active participants in the learning process and that they have responsibilities to the institution and the international community of scholars. The University expects that students will act at all times in a way that demonstrates respect for the rights of other students and staff so that the learning environment is both safe and productive. For further information visit Student Charter https://www.auckland.ac.nz/en/students/forms-policies-and-guidelines/student-policies-and-guidelines/student-charter.html.
Disclaimer
Elements of this outline may be subject to change. The latest information about the course will be available for enrolled students in Canvas.
In this course students may be asked to submit coursework assessments digitally. The University reserves the right to conduct scheduled tests and examinations for this course online or through the use of computers or other electronic devices. Where tests or examinations are conducted online remote invigilation arrangements may be used. In exceptional circumstances changes to elements of this course may be necessary at short notice. Students enrolled in this course will be informed of any such changes and the reasons for them, as soon as possible, through Canvas.