Resolving Regulatory Disputes - JURD7572
Faculty: Faculty of Law
School: Faculty of Law
Course Outline: See below
Campus: Sydney
Career: Postgraduate
Units of Credit: 6
EFTSL: 0.12500 (more info)
Indicative Contact Hours per Week: 3
Enrolment Requirements:
Pre-requisite: Resolving Civil Disputes (LAWS2371/JURD7271) OR Litigation 1 (LAWS2311/JURD7211).
CSS Contribution Charge: 3 (more info)
Tuition Fee: See Tuition Fee Schedule
Further Information: See Class Timetable
View course information for previous years.
Description
Effective regulation, including in areas such as competition law, securities, financial services and taxation, requires the availability and use of various dispute resolution and enforcement techniques. This course reviews the forms and techniques of regulation with a view to examining how they interact with methods of enforcement such as negotiation, dispute handling services such as the Financial Ombudsman Service, civil litigation and criminal prosecution.
The course addresses issues common to the enforcement of all regulatory schemes such as:
* a regulator’s coercive investigation and information gathering powers,
* limits on those powers such as legal professional privilege/client legal privilege and the privilege against self-incrimination,
* whistleblowers and immunity,
* mechanisms for the resolution of civil proceedings brought by a regulator, and
* criminal law aspects of regulatory litigation.
The course also examines specific areas in more detail to illustrate policy and procedural issues relevant to regulatory disputes. This includes:
* the interaction between public and private enforcement by examining the interaction between the Australian Securities and Investments Commission and class actions,
* court approval of civil penalty litigation settlements with the Australian Competition and Consumer Commission, and
* whether conduct should be criminalised such as insider trading or cartels.
The course addresses issues common to the enforcement of all regulatory schemes such as:
* a regulator’s coercive investigation and information gathering powers,
* limits on those powers such as legal professional privilege/client legal privilege and the privilege against self-incrimination,
* whistleblowers and immunity,
* mechanisms for the resolution of civil proceedings brought by a regulator, and
* criminal law aspects of regulatory litigation.
The course also examines specific areas in more detail to illustrate policy and procedural issues relevant to regulatory disputes. This includes:
* the interaction between public and private enforcement by examining the interaction between the Australian Securities and Investments Commission and class actions,
* court approval of civil penalty litigation settlements with the Australian Competition and Consumer Commission, and
* whether conduct should be criminalised such as insider trading or cartels.
Course Objectives
- Utilise the traditional skills of being able to read and understand legislation, quasi-legislation, such as regulatory guides and codes of practice, and case law with a view to applying it to a problem situation; and understand the policy issues underlying some of the determinations by regulators and in cases.
- Recognise and respond appropriately to ethical constraints and dilemmas associated with the resolution of regulatory disputes.
- Advise on the options for regulatory enforcement and the various pros and cons that each may have depending on the forms and techniques of regulation that are being utilised.
- Communicate legal concepts clearly and persuasively to various audiences, e.g. judges, other lawyers, and clients.
- Employ superior research and writing skills which will be developed through a research essay.
Assessment
- Class participation - 20%
- Research essay - 50%
- Group assignment - 30%
Study Levels
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