LLAW6093 & JDOC6093 (Class D)

General Course Information

1.1 Course details

Course code: LLAW6093 / JDOC6093 (Class D)
Course name: Regulation of Financial Markets
Programme offered under: LLM Programme / JD Programme
Semester: Second
Prerequisites / Co-requisites: No
Credit point value: 9 credits / 6 credits
Cap on student numbers: 110
Remarks: Students of LLM(CR) are not allowed to take this course.

1.2 Course description

The objective of the course is to develop an understanding of the development of financial markets, the role and function of financial markets, their risks and international efforts to address those risks, including the role of technology in finance (FinTech) and regulation (RegTech). The course does not aim to address substantive law, but rather to address the risks and issues underlying the development of stable and robust financial markets. In relation to skills, the course seeks to provide an understanding of globalisation of financial markets and implications for individual economies, enabling students to apply this understanding in the context of financial markets.

1.3 Course teachers

Name E-mail address Office Consultation
Course convenor Evan Gibson egibson8@hku.hk CCT 801 By email

Learning Outcomes

2.1 Course Learning Outcomes (CLOs) for this course

CLO 1 Have an understanding of the functioning and regulation of global financial markets, especially in major financial centres such as Hong Kong.

CLO 2 Understand the role of law and regulation in global finance.

CLO 3 Be able to analyse major risks in global financial markets and regulatory responses.

CLO 4 Be able to critically discuss financial regulatory reforms addressing global finance.

2.2 LLM and JD Programme Learning Outcomes (PLOs)

Please refer to the following link:

LLM – https://course.law.hku.hk/llm-plo/

JD – https://course.law.hku.hk/jd-plo/

2.3 Programme Learning Outcomes to be achieved in this course



3.1 Assessment Summary

Assessment task Due date Weighting Feedback method* Course learning outcomes
Class participation N/A 20% 1, 2, 3, 4, 5
Take home exam 9 May 2022 80% 1, 2, 3, 4, 5
*Feedback method (to be determined by course teacher)
1 A general course report to be disseminated through Moodle
2 Individual feedback to be disseminated by email / through Moodle
3 Individual review meeting upon appointment
4 Group review meeting
5 In-class verbal feedback

3.2 Assessment Detail

To be advised by course convenor(s).

3.3 Grading Criteria

Please refer to the following link: https://www.law.hku.hk/_files/law_programme_grade_descriptors.pdf

Learning Activities

4.1 Learning Activity Plan

Seminar: 3 hours / week for 12 teaching weeks
Private study time: 9.5 hours / week for 12 teaching weeks

Remarks: the normative student study load per credit unit is 25 ± 5 hours (ie. 150 ± 30 hours for a 6-credit course), which includes all learning activities and experiences within and outside of classroom, and any assessment task and examinations and associated preparations.

4.2 Details of Learning Activities

To be advised by course convenor(s).

Learning Resources

5.1 Resources

Reading materials: Reading materials are posted on Moodle
Core reading list: TBA
Recommended reading list: TBA

5.2 Links

Please refer to the following link: http://www.law.hku.hk/course/learning-resources/