BTC4180

Securities regulation ( 6 points, SCA Band 3, 0.125 EFTSL)

Leader: Associate Professor Paul Latimer

Offered:
Hong Kong 1-FLEX 2005 (Day)
Hong Kong First semester 2005 (Day)
Hong Kong First semester 2005 (On-campus)

Synopsis: A study of some of the laws regulating securities and financial markets from the policy perspective of what they are trying to achieve. The subject opens with the economic, legal and constitutional framework. Topics include the role of the market regulator; what is a 'security'; aspects of securities regulation legislation; relevant trade practices law; licensing; computerisation; internationalisation.

Assessment: Research assignment (2000 words: 30% + Examination (2.5 hours): 50% + Class presentations: 20%

Contact Hours: 2.5 hour session per week