SECURITIES AND CAPITAL MARKETS REGULATION
2018/2019, Semester 2
Modular Credits: LL4412 ( 8 ) / LL5412 ( 8 ) / LL6412 ( 8 )
This course is designed to provide an overview of securities regulation, corporate governance and mergers and acquisitions, in Singapore and, where relevant, jurisdictions such as the US, UK, Australia, China and HK. Topics to be covered generally 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 takeover activity. In addition, aspects of syndicated loan and bond financing, and securitisation, will be studied in some detail. Students will be expected to use the Internet to search for comparative materials. Advisory Note for students from Civil Law Jurisdiction: Not appropriate for civil law students.
(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).
Students doing or have done any of the following module(s) are precluded: (1) International Corporate Finance [8MC - LL4409/LL5409/LLD5409/LL6409; 4MC - LL4238/LL5238/LL6238; 5MC – LL4238V/LL5238V/LL6238V]; (2) Corporate Finance Law & Practice in Singapore [4MC - LL4182/LL5182/LL6182; 5MC – LL4182V/LL5182V/LL6182V]; (3) Securities Regulation [4MC - L4055/LL5055/LL6055; 5MC – LL4055V/LL5055V/LL6055V]; (4) Securities Regulation [Module code: L53.3040 OR LW.10180] under the NYU@NUS Summer Session.
Workload Components : A-B-C-D-E
A: no. of lecture hours per week
B: no. of tutorial hours per week
C: no. of lab hours per week
D: no. of hours for projects, assignments, fieldwork etc per week
E: no. of hours for preparatory work by a student per week