課程概述

Over recent years there has been a dramatic rise in the volume and reach of regulation in response to a variety of social, environmental and economic issues. Much of this regulation impacts on business, and its management who are, increasingly, personally liable. This unit has been designed to provide students with a comprehensive overview of the overall regulatory infrastructure which impacts on all faculty disciplines. Business Regulation, Risk and Compliance addresses self-regulation as an alternative to regulation by law; the regulatory process and the scope for business to influence regulatory initiatives; the alternative regulatory instruments; the executive arm of government - the bureaucracy - and the avenues for challenging administrative decisions; the investigative and enforcement powers of the major regulatory agencies - ACCC, ATO and ASIC; personal and corporate liability for regulatory breach; indemnification; whistleblowing and whistle-blower protection: regulatory compliance with special reference to Australian Standard AS3806-2006 on Compliance Standards and the strategies which facilitate legal action including class actions and litigation funding as well as the major alternatives to litigation including arbitration and alternative dispute resolution with particular emphasis on mediation.

近年來，為應對各種社會、環境和經濟問題，監管的數量和范圍急劇增加。該法規在很大程度上影響了企業及其管理人員，他們越來越多地承擔個人責任。本單元旨在讓學生全面了解影響所有教師學科的整體監管基礎設施。商業監管、風險和合規性將自我監管作為法律監管的替代方案；監管程序和影響監管舉措的業務范圍；替代監管工具；政府的行政部門——官僚機構——以及質疑行政決定的途徑；主要監管機構的調查和執法權力——ACCC、ATO 和 ASIC；違反監管規定的個人和公司責任；保障; 舉報和舉報人保護：監管合規，特別參考澳大利亞標準 AS3806-2006 關于合規標準和促進法律行動的策略，包括集體訴訟和訴訟資金，以及訴訟的主要替代方案，包括仲裁和替代性爭議解決，特別是強調調解。

學習成果

1.識別和評估因日益復雜和全面的監管制度而產生的公司和個人業務風險

2.描述制定監管計劃的框架和流程，并確定和評估政府可用的替代監管策略，以實現特定的政策結果

3.識別、解釋和評估監管機構可用的監管執法的性質和工具

4.識別和分析現有的法律和行政機制來挑戰行政決定

5.描述和評估爭議解決的替代策略，并設計合規策略以盡量減少違反監管制度的可能性

6.評估與業務及其監管相關的道德考慮因素，包括舉報

7.分析和評估本單元中涉及的具體監管制度