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(yīng)對各種社會、環(huán)境和經(jīng)濟(jì)問題，監(jiān)管的數(shù)量和范圍急劇增加。該法規(guī)在很大程度上影響了企業(yè)及其管理人員，他們越來越多地承擔(dān)個人責(zé)任。本單元旨在讓學(xué)生全面了解影響所有教師學(xué)科的整體監(jiān)管基礎(chǔ)設(shè)施。商業(yè)監(jiān)管、風(fēng)險和合規(guī)性將自我監(jiān)管作為法律監(jiān)管的替代方案；監(jiān)管程序和影響監(jiān)管舉措的業(yè)務(wù)范圍；替代監(jiān)管工具；政府的行政部門——官僚機(jī)構(gòu)——以及質(zhì)疑行政決定的途徑；主要監(jiān)管機(jī)構(gòu)的調(diào)查和執(zhí)法權(quán)力——ACCC、ATO 和 ASIC；違反監(jiān)管規(guī)定的個人和公司責(zé)任；保障; 舉報和舉報人保護(hù)：監(jiān)管合規(guī)，特別參考澳大利亞標(biāo)準(zhǔn) AS3806-2006 關(guān)于合規(guī)標(biāo)準(zhǔn)和促進(jìn)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(qiáng)調(diào)調(diào)解。

學(xué)習(xí)成果

1.識別和評估因日益復(fù)雜和全面的監(jiān)管制度而產(chǎn)生的公司和個人業(yè)務(wù)風(fēng)險

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

3.識別、解釋和評估監(jiān)管機(jī)構(gòu)可用的監(jiān)管執(zhí)法的性質(zhì)和工具

4.識別和分析現(xiàn)有的法律和行政機(jī)制來挑戰(zhàn)行政決定

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

6.評估與業(yè)務(wù)及其監(jiān)管相關(guān)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(jiān)管制度