Course Listing


Securities and Capital Markets Regulation
Last Updated Date:   1 June 2021


8 Credits,  Semester 2

Course Description:
This course is designed to provide an overview of securities regulation, corporate finance, 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.

Cautionary note for students from Civil Law Jurisdiction: a background knowledge of common law subjects is assumed, including contract, tort, equity, and company law.

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Advisory Note for students from Civil Law Jurisdiction: Not appropriate for civil law students.


Course Convenor: Prof Hans Tjio & A/P Lan Luh Luh

Co-teacher(s): NA

Module Codes: LL4412 / LL5412 / LL6412 / LLJ5412

Contact Hours: Two, 3hr seminars

Workload: Estimated: 6 contact hrs + 9 hrs preparation

Mode of Assessment: Final Exam - 55%; Test - 20% [Due: Wk 7]; Group Assignment - 15%; Class Performance - 10%.

Preclusions: Students doing or have done any of the following module(s) are precluded: (1) Int'l 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 - LL4055/LL5055/LL6055; 5MC - LL4055V/LL5055V/LL6055V; (4) Practice of Corporate Finance and the Law: 4MC - LL4297/LL5297/LL6297; 5MC - LL4297V/LL5297V/LL6297V; (5) Corporate and Securities Law - ACC3604; (5) Securities Regulation [Module code: L53.3040 OR LW.10180] under the NYU@NUS Summer Session.

Prerequisites: (a) NUS Compulsory Core Law Curriculum or common law equivalent. (b) Company Law [LC2008/LLB2008] or its equivalent in a developed common law jurisdiction (may be taken concurrently).

Examination Date: Tuesday, 26 April 2022 (PM)

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