悉尼大学（Sydney）辅导/选课建议：CLAW2208 Business Regulation, Risk and Compliance

课程概述

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.

近年来，为应对各种社会、环境和经济问题，监管的数量和范围急剧增加。该法规在很大程度上影响了企业及其管理人员，他们越来越多地承担个人责任。本单元旨在让学生全面了解影响所有教师学科的整体监管基础设施。商业监管、风险和合规性将自我监管作为法律监管的替代方案；监管程序和影响监管举措的业务范围；替代监管工具；政府的行政部门——官僚机构——以及质疑行政决定的途径；主要监管机构的调查和执法权力——ACCC、ATO 和 ASIC；违反监管规定的个人和公司责任；保障; 举报和举报人保护：监管合规，特别参考澳大利亚标准 AS3806-2006 关于合规标准和促进法律行动的策略，包括集体诉讼和诉讼资金，以及诉讼的主要替代方案，包括仲裁和替代性争议解决，特别是强调调解。

学习成果

1.识别和评估因日益复杂和全面的监管制度而产生的公司和个人业务风险

2.描述制定监管计划的框架和流程，并确定和评估政府可用的替代监管策略，以实现特定的政策结果

3.识别、解释和评估监管机构可用的监管执法的性质和工具

4.识别和分析现有的法律和行政机制来挑战行政决定

5.描述和评估争议解决的替代策略，并设计合规策略以尽量减少违反监管制度的可能性

6.评估与业务及其监管相关的道德考虑因素，包括举报

7.分析和评估本单元中涉及的具体监管制度