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1. Define statutory, co-regulatory and self-regulatory frameworks, including advantages and disadvantages. As part of your response provide a relevant example of each framework. 2. Provide details of...

1.    Define statutory, co-regulatory and self-regulatory frameworks, including advantages and disadvantages. As part of your response provide a relevant example of each framework.

2.    Provide details of a regulator who uses a co-regulatory model and give an example of how they do this, including any relevant documents/resources that they use.

3.    Explain the differences between investment and risk based financial products. Give two examples of each and provide details of when/why they are used.

4.    Summarise the differences between the prudential regulation provided by the Australia Prudential Regulation Authority (APRA) and the consumer protection regulation provided Australian Securities & Investment Commission (ASIC) in relation to financial products.

5.    Bill Jones is a public servant and he and Mary have recently married. They have decided that they want to purchase their first home together. They have been referred to a mortgage broker – Getting Started Loans, and speak to Fred Smiths there. Fred generally uses the ABC bank for his additional $1k on top of his normal fees for each loan he introduces there.

Advice what actions that Fred Smith is required to undertake in providing services to Bill and Mary. Ensure you cover key definitions and activities as part of your response.

6.    Provide a summary in your own words why would a disclosure document is not required in the circumstances outlined under Corporations Act S708.

7.    Provide details of what the general and specific content requirements are for a prospectus. Also provide details of what defences preparers of prospectuses may be able to utilise in relation to defective content.

8.    Provide details of what insider trading is. Why is it prohibited? What is inside information? What are the exemptions?

9.    Provide a summary of the takeover process; include details of parties, documents and timeframes.



Oct 07, 2019
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