This course offers an introduction to the capital markets and securities regulations. Students will learn about relevant laws of capital market, from the prospectus regime to continuing disclosure requirements and corporate governance of public companies. This course will also introduce the liability regime of public offering, insider dealing, other market misconducts, and the enforcement of securities laws. Harvard business review cases will also be discussed in class to help students understand the business considerations in real life and better prepare students for future legal practice career. This course is useful for students who want to practice law relating initial public offering (IPO) and capital markets. Background knowledge in common law Company Law is required. The pre-requisite course for JD students is LW5656 and for LLM students is LW6103E.

The use of Generative AI tools is not allowed.

Applicable to students admitted before Semester A 2022/23 and in Semester A 2024/25 & thereafter

Students must obtain a minimum mark of 40% in examination and an overall mark of 40% in order to pass the course.

Applicable to students admitted from Semester A 2022/23 to Summer Term 2024

Students must obtain a minimum mark of 50% in examination and an overall mark of 50% in order to pass the course.