Regulation of Financial Markets
LLAW 6093
Final assessment: Take-home examination
DISTRIBUTION DATE:9:30pm, Tuesday, 9 April 2024
DUE DATE:1:00pm Friday 10 May 2024
This examination paper consists of three (3) pages of instructions, two (2) exam questions (ALL to be answered),one (1) cover page for submission, and one (1) answer sheet template.
Attached is the take-home examination in the course Compliance and Financial Markets. It will be made available at 9:30pm, Tuesday, 9 April 2024, via Moodle. You should submit your answers VIA MOODLE no later than 1:00pm Friday 10 May 2024. Papers handed in late will be penalised at the rate of 5 points out of 100 per day (commencing at 01:01pm on Friday 10 May 2024) and will not be accepted later than 14 May 2024 at 01:00pm).
You must submit your answers via Moodle. Your submission should include a coversheet with your university number on the front, together with the course title, the name of the instructor and the total number of words in your answers(do not write your name). You bear the risk that the electronic transmission may go astray or be delayed.
Your answers combined may not exceed 6,000 words inclusive of footnotes – anything over that length will not be counted. You must answer ALL questions, and each question is equally weighted. You should devote roughly the same time and space to each question (although you are not required to do so). Bibliographic references do not count to the word limit. If full bibliographic references (i.e., Author(s), Title, Publisher/Journal, Year, page(s), and link, if any) are included in the footnotes, you can subtract them from the total word counting.
When typing your answers, please use single-line spacing and leave a 1” (2.5 cm) margin on all sides of the page; a 12-point character size is preferred. I do not expect your answers to be heavily footnoted. With respect to the citation style, you can consistently use a style of your preference. If an in-text citation style is used (e.g., “(Smith, 2022)”), a bibliographic reference list should be included at the end of each answer.Even if extensive research is not required, you should ground your reasoning and argument on primary sources (laws and regulations) and select authoritative secondary sources (e.g., scholarly articles, books, and policy documents). Fact-check everything!
As this is a formal examination, the normal University rules regarding plagiarism apply and you should ensure that the work you submit is your own. Every work is automatically scanned through anti-plagiarism software. References to published materials must be properly cited – e.g., quotation marks are needed if it is a direct reference and indication of the source is necessary in both direct and indirect reference to someone else’s idea. The source of relevant facts and information should also be provided.
Generative AI (GenAI) can be used, but it is not necessary to complete this exam and get a high grade. If you are not familiar with GenAI or if you are not used to conducting this type of task or other research-related activities with it, you can experiment with different tools made available by the University. Nonetheless, you should be aware of the risks and the fact that extra time might be needed as it is a process of trial and error. In fact, answers that are too general, not supported by precise references, or that
