LLAW6257

General Course Information

1.1 Course details

Course code: LLAW6257
Course name: Compliance for Listed Companies
Programme offered under: LLM Programme
Semester: Second
Prerequisites: Completion of LLAW6049 Securities Regulation I, or demonstrated extensive knowledge and experience of Listing Rules and other laws and regulations applicable to listed companies.
Credit point value: 9 credits

1.2 Course description

The course will focus on the compliance issues relevant to companies listed on the Hong Kong Stock Exchange. The approach taken in the course will be very practical the emphasis will be on the procedures and methodologies to ensure compliance with the extensive framework of rules that HKEX listed companies are subject to. Practical compliance exercises will be completed for the topic areas covered.

The course will give students a deeper understanding of the obligations and procedures applicable or relevant to a listed company as well as listed companies should establishing a compliance management system. The course will be of particular relevance to those working in listed companies as well companies that provide services to listed companies.

1.4 Course teachers

Name E-mail address Office Consultation
Course convenor Angus Young alyoung@hku.hk CCT 301 By emai

Learning Outcomes

2.1 Course Learning Outcomes (CLOs) for this course

CLO 1 The course will focus on the compliance issues relevant to companies listed on the Hong Kong Stock Exchange. The approach taken in the course will be very practical the emphasis will be on the procedures and methodologies to ensure compliance with the extensive framework of rules that HKEX listed companies are subject to. Practical compliance exercises will be completed for the topic areas covered.

CLO 2 Although the underlying laws and regulations will be reviewed, to enable active participation in the practical exercises, evidence of some previous familiarity with them is a pre-requisite.

CLO 3 The course will give students an awareness and deeper understanding of the obligations and procedures applicable or relevant to a listed company. The course will be of particular relevance to those working in listed companies as well companies that provide services to listed companies.

2.2 LLM Programme Learning Outcomes (PLOs)

Please refer to the following link: https://course.law.hku.hk/llm-plo/

2.3 Programme Learning Outcomes to be achieved in this course

PLO A PLO B PLO C PLO D PLO E PLO F
CLO 1
CLO 2
CLO 3

Assessment(s)

3.1 Assessment Summary

Assessment task* Due date Weighting Feedback method* Course learning outcomes
In class participation N/A 20% 1, 2, 3, 4
Assignment TBC 30% 1, 2, 3, 4
Take home exam TBC 50% 1, 2, 3, 4

*Students must score 50% in each component to pass the course overall

*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 and lecture: 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/