LAWS 2012 Regulatory Risk and Compliance
Credit Points 10
Legacy Code 200928
Coordinator Tony Nehme Opens in new window
Description This subject provides a general overview of key regulatory bodies as well as their associated remit, governing legislation, roles and responsibilities. Key regulatory fields relate to financial services, consumer credit, telecommunications, water, energy and employment regulation. The subject identifies and discusses key concepts including consumer protection laws, anti-money laundering and counter terrorism financing, privacy, whistle-blower regime, complaints handling and modern slavery obligations.
Student Contribution Band HECS Band 4 10cp
Check your fees via the Fees page.
Level Undergraduate Level 2 subject
On successful completion of this subject, students should be able to:
- Identify key regulatory frameworks (including risk management standards) and associated governing regulatory bodies.
- Assess the relationship between legal risk, risk management, effective compliance frameworks and good governance.
- Describe the roles, responsibilities and governing legislation of key regulatory bodies.
- Explain the nature and tools of regulatory enforcement available to regulatory agencies.
- Evaluate the effectiveness of key regulatory regimes, including dispute resolution mechanisms, self-regulation and breach reporting.
- Regulation of employment, energy and water, telecommunications, financial services, consumer credit, consumer services
- Anti-money laundering and counter-terrorism financial regulation in Australia
- Data and privacy
- Corporate governance
The following table summarises the standard assessment tasks for this subject. Please note this is a guide only. Assessment tasks are regularly updated, where there is a difference your Learning Guide takes precedence.
|Reflection||1,000 words or equivalent||20||N||Group/Individual|
|Case Study||2,000 words||40||N||Individual|
|Final Exam||24 hours||40||N||Individual|
- Ereader resources to be compiled by Subject Coordinator
Parramatta - Victoria Rd
Subject Contact Tony Nehme Opens in new window