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 sources of corporate finance, and types of financial markets, the laws regulating the primary and secondary capital markets in New Zealand, and the role of the Financial Markets Authority.

Content outline

Topics covered may include:

  1. Possible types and sources of finance in New Zealand
  2. Aspects of corporate finance regulation, including corporate governance and disclosure theory
  3. The historical and present context of corporate finance regulation in New Zealand
  4. Types of financial products
  5. Fundraising under the Financial Markets Conduct Act 2013
  6. Licensing
  7. Fair dealing and enforcement
  8. Regulation of the secondary capital market —insider trading, market manipulation, and continuous disclosure


1000 word essay (20%)

2 hour open book exam (80%)

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.