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LAWS419 Securities Market Regulation


An introduction to the regulation of New Zealand capital markets. Topics cover the primary and secondary markets and include offers of securities to the public, disclosure to the market, market abuse, regulation of the stock exchange and of financial intermediaries.

An introduction to the regulation of New Zealand's primary and secondary markets for financial products. It considers initial public offerings of financial products (including those on a block chain platform), market abuse and disclosure information to secondary financial markets.

Paper title Securities Market Regulation
Paper code LAWS419
Subject Law
EFTS 0.1000
Points 15 points
Teaching period Second Semester
Domestic Tuition Fees (NZD) $672.30
International Tuition Fees (NZD) $3,118.80

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LAWS 201, LAWS 202, LAWS 203, LAWS 204
Limited to
LLB, LLB(Hons)
(i) Not all optional papers will be available in any given year. (ii) May not be credited together with LAWS476 passed in 2002-2005, 2007 or 2008.
Teaching staff
Professor Shelley Griffiths
Course materials provided.
Graduate Attributes Emphasised
Global perspective, Interdisciplinary perspective, Lifelong learning, Scholarship, Communication, Critical thinking, Cultural understanding, Ethics, Environmental literacy, Information literacy, Research, Self-motivation, Teamwork.
View more information about Otago's graduate attributes.
Learning Outcomes
Students will have an understanding of the regulation of New Zealand securities markets, including offers of securities to the public, insider trading, the Stock Exchange, market abuse and disclosure.

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Second Semester

Teaching method
This paper is taught On Campus
Learning management system


Stream Days Times Weeks
L1 Tuesday 15:00-15:50 28-34, 36-41
Thursday 15:00-15:50 28-34, 36-41