LAWCOMM 444 - Financial Markets Law

Credit points: 10 points
Offered: Semester One
Contact hours: 2 hours per week
Course Coordinator: Nick Williams
Corequisite: LAW 417 or LAWCOMM 402

Course description

An examination of the law regulating the promotion of companies, duties and liabilities of directors and promoters for the promotion of a company, public fund raising in New Zealand, insider trading laws and takeovers, and limited liability partnerships.

Course overview

This course is for students who anticipate further involvement, or have a keen interest, in the theory and operation of financial markets. It will commence with an overview of the history of local markets and the fundamental objectives inherent in any successful marketplace. Building on these, it will look at key local legislation and regulations now in place to achieve these objectives. Having established this framework, the second part of the course will take a detailed look at the main players, products and operations existing within this structure. Part three of the course will develop this foundational knowledge to analyse and evaluate case studies that demonstrate effective and ineffective, flexible and inflexible practices and approaches within a financial markets setting.


  • 300 word reflection piece (10%)
  • 1250 word assignment (20%)
  • 2 hour open-book exam (70%)

Open book means that you may, if you wish, bring into the exam and refer to any materials such as casebooks, textbooks and study notes.