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Regulation, Litigation and Enforcement - LAWS8064

Faculty: Faculty of Law
School:  Faculty of Law
Course Outline: See below
Campus: Kensington Campus
Career: Postgraduate
Units of Credit: 6
EFTSL: 0.12500 (more info)
Indicative Contact Hours per Week: 2
Enrolment Requirements:
Prerequisite: Academic Program must be either 9200, 9210, 5740, 9230, 9235, 5235, 9231 or 5231
Excluded: JURD7364
CSS Contribution Charge:Band 1 (more info)
Further Information: See Class Timetable


The effective regulation of areas such as competition law, securities, financial services and taxation requires the availability and use of enforcement techniques, including litigation. This course examines the procedural aspects of litigation in the regulatory context. The course addresses litigation issues common to all regulatory schemes such pre-litigation processes which are characterised by a regulator’s investigation and information gathering powers and criminal law aspects of regulatory litigation. Three different regulatory schemes and their regulator (Competition Law/ACCC, Securities Law/ASIC and Tax Law/ATO) are then examined from the perspective of enforcement and litigation.

LLM Specialisation

Recommended Prior Knowledge


Course Objectives

A candidate who has successfully completed this course should be able to:
  • understand the role of enforcement through litigation in regulation
  • be familiar with regulator investigation and information-gathering powers
  • understand the differences and complexities associated with regulatory litigation such as the use of expert evidence, role of pleadings and unique remedies available to a regulator
  • comprehend the role of criminal proceedings in regulation

Main Topics

  • The role of enforcement in regulation
  • Pre-Litigation Processes
  • Competition Law Litigation
  • Securities and Financial Services Litigation
  • Tax Litigation
  • Criminal Law Aspects of Regulatory Litigation
  • Special Topics eg class actions, Royal Commissions.
(LLM students will be required to choose 2 out of 3 of competition law litigation, securities and financial services litigation and tax litigation)


Research Essay – 80%
Class Participation – 20%

Course Texts


Course Materials will be available for purchase from the UNSW Bookshop
  • Tom Middleton, ASIC Corporate Investigations & Hearings (Online/Looseleaf)
  • Russel Miller, Annotated Trade Practices Act
  • CCH Australian Federal Tax Reporter
  • Stephen Odgers, Principles of Federal Criminal Law


Refer to the course outline which will be provided by the lecturer at the beginning of the relevant semester.

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© The University of New South Wales (CRICOS Provider No.: 00098G), 2004-2011. The information contained in this Handbook is indicative only. While every effort is made to keep this information up-to-date, the University reserves the right to discontinue or vary arrangements, programs and courses at any time without notice and at its discretion. While the University will try to avoid or minimise any inconvenience, changes may also be made to programs, courses and staff after enrolment. The University may also set limits on the number of students in a course.