Topic 1 The ‘Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry’ heard evidence of systemic non-compliance, illegality and moribund ethics. In your...

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  Law of Investments and Financial Markets!

  Your final submission of your responses to the four topics chosenshould be 1,500 words in total. I've attached the word doc where you need to choose four topics and write a discussion/answer in response to them
  
  

Topic 1 The ‘Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry’ heard evidence of systemic non-compliance, illegality and moribund ethics. In your opinion, do you think law reform following the Commission has been responsive and effective? Why or why not? Include reference to the relevant statute that governs the chosen regulator in your answer. Topic 2 A realistic, but hypothetical client has come to you for advice, asking for your opinion on a preferred business structure. This client can represent a start-up; a trades person (non-gender specific!); a consultant; or.. you can choose your own adventure! Set out advice as to what business model would best fit your client profile. Consider the advantages, disadvantages and risks (commercial and/ or legal) of the chosen business structure in your discussion. In your answer, include reference to any applicable law which may apply. Topic 3 “The current legal disclosure requirements of a prospectus are sufficient to protect investors. No need to increase the regulatory burden on the corporate sector!”. Discuss this statement and argue (with reference to relevant law) whether you agree, or disagree with this statement. You may wish to supplement your response with recent examples as shown in media articles. Topic 4 Choose your own adventure! This week broaches two topics, so you can choose what you want to discuss: 1: Your client has a medium to high risk appetite. They ask you to explain whether they would be better to acquire ordinary, or preference shares in a company. What do you tell them? Cite a recent example within your response and include reference to any applicable law which may apply. 2: Your client asks you to explain the difference/s between sourcing debt financing, or seeking crowd sourced funding. What do you tell them? Cite a recent example within your response and include reference to any applicable law which may apply. Topic 5 Identify a recent case in the media (from 2021) which relates to the rights of shareholders. This may involve minority shareholder oppression, a take-over bid, or disgruntled shareholders unhappy with management for reasons of financial performance and/ or misconduct. Include a link to the article in your discussion reference the applicable law which may apply. Topic 6 Identify a recent case in the media (from 2021) which involves an insolvency regime, discussed as part of this topic. This may include the following: Receivership; Administration; Deed of Company Agreement; Liquidation and/ or Winding up Briefly summarise the position of the company/ies (including if it is part of a group structure) and apply the relevant provisions of the Corporations Act to the fact situation presented in the media article. Remember to include a URL link to the relevant article! Topic 7 What is the ‘best interests’ duty? Do you agree that the duty should be expanded in scope, or do you think that the law now goes too far? Support your answer with recent, relevant conduct identified in media articles, relevant cases, or government policy. Topic 8 Identify a recent case in the media (from 2021) which involves a form of financial misconduct, as discussed in this course. This may include the following: A tortious claim of negligence; Misleading and deceptive conduct; A breach of the AFSL licence; A breach of the best interests duty. Briefly summarise the case, including details of misconduct relating to an officer/ advisor, and the relevant entity to which they belong. Explain the loss or damage caused and apply the relevant provisions of the Corporations Act to the fact situation presented in the media article. Remember to include a URL link to the relevant article – and put this information into your OWN words!