BTX5180

Financial services regulation ( 6 points, SCA Band 3, 0.125 EFTSL)

Leader: Associate Professor Paul Latimer

Offered:
Hong Kong SA-02 2006 (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 (4000 words: 40%) * Examination (2.5 hours): 40% * Class presentations: 20%

Contact Hours: 2.5 hour session per week