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Securities Regulation Last Updated Date: 9 June 2009 4 Credits, Semester 2 Course Description: This course is designed to provide an overview of securities regulation, and mergers and acquisitions, in Singapore and, where relevant, jurisdictions such as the US, UK, Australia, China and HK. Topics to be covered include: regulatory authorities and capital markets; supervision of intermediaries; the "going public" process; legal position of stockbrokers; insider trading and securities frauds; globalisation, technology and regulatory harmonisation; and regulation of take-over activity. Students are expected to obtain a copy (updated) of the Securities and Futures Act. They will also be expected to use the Internet to search for comparative materials Course Convenor: Prof Hans Tjio Co-teacher(s): Nil Module Codes: LL4055 / LL5055 / LL6055 Contact Hours: 3-hr continuous weekly seminar Workload: 3 hours Mode of Assessment: Exam - 90%; Class Performance - 10% Preclusions: Students who have done Securities Regulation [Module code: L53.3040] under the NYU@NUS Summer Session are precluded. Students doing or have done International Corporate Finance [LL4409/LL5409/LLD5409/LL6409]; Corporate Finance Law & Practice in Singapore [LL4182/LL5182/LL6182] & Corporate Law & Finance [LL4188/LL5188/LL6188] are precluded. Prerequisites: (a) NUS Compulsory Core Law Curriculum or equivalent. (b) Company Law [LC2008/LLB2008] or its equivalent in a developed common law jurisdiction (may be taken concurrently). Examination Date: Friday, 30 April 2010, AM Click here to go Back |
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