A primary objective of this course is for students to obtain a solid grounding in the basic concepts of Ontario securities law, as well as an understanding of the underlying policy objectives of regulators and decision-makers in implementing and interpreting statutory provisions. Students should also develop knowledge of how securities law influences business transactions and the activities of public issuers, as well as how courts and regulators use securities law concepts and policies in resolving and hearing disputes. Students will be presented with practical knowledge of securities law doctrines and concepts, and attempt to understand the roles that securities lawyers play as advisors to issuers, registrants, investment funds, and derivatives dealers and users. For those students who do not intend to practice securities law, the expectation is that the course will provide a working knowledge of key aspects of the capital markets and the governance frameworks for these markets.
Method of Evaluation:
3 hour examination for 90% of course grade plus 10% participation mark for attendance and participation in class discussions.
or
3 hour examination for 50% of course grade plus 10% participation mark for attendance and participation in class discussions PLUS research paper for 40% of course grade. The research paper must be no more than 5,000 words in length. A 250-word outline as well as a preliminary bibliography must be submitted for approval.