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 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/