Compliance Course

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, contact Sydney University Law School - Post Graduate Enrolments on (02) 9351 0267 and quote course number LAWS 6264).
*Notes for 2010 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.
	Brochure - the current entry for the course in the Sydney University Law School Student Handbook "Unit of Study Descriptions" (go to the listing for LAWS6264).
	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.	Trade Practices
	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.	FHSA Products
	11C.	Credit Facilities
	11D.	ASX Stockbroking
	12A.	Derivatives
	12B.	Warrants
	12C.	SFE Futures Broking
	12D.	Foreign Exchange
	12E.	Financial Planning
	12F.	Margin Lending
	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):
		November 2002
		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 Market Rules and SFE 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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