Western Law

5558C 001 Securities Law - Concepts and Practice

This course satisfies Module 3 for the Area of Concentration: Business Law.
Instructor(s)Graves, Brian; Hoffman, Jay; Locke, Wendi
Credits4
Essay RequirementNo, this course will not satisfy the Faculty of Law essay requirement
Pre/Co-requisitenone , but Corporate Law is recommended. The content of the course may overlap with the Securities Regulation course.
CompulsoryNo
CoreNo
Enrollment Restriction25
Instruction Lectures and seminars including four full day sessions at the offices of McCarthy Tétrault LLP in Toronto.

Students are expected to attend all classes.

Assessment 100%: a 48-hour take-home assignment, due on the last day of the term (Friday, January 31, 2014 at 1:00pm)

The assignment will take the form of hypothetical fact patterns and/or short answer questions. The answers submitted for grading must be prepared by each student on an individual basis and not as part of a group.

Materials Lecture materials (to be provided by the instructors)

Annotated Ontario Securities Legislation (CCH Canadian Limited)

Other material on reserve: Mark R. Gillen, Securities Regulation in Canada, 3rd ed. (Carswell: 2007)

Library MaterialsClick here for Library Materials for this Course
Description

This course is intended to offer students a practice-oriented program in securities law by giving them first hand exposure to securities practitioners, regulators and investment bankers outside of a traditional classroom setting.

Lecture topics may include: exempt distributions; public distributions; registrant regulation; early stage financing; continuous disclosure; investment management regulation; corporate governance; related party transactions; take-over bids; enforcement and securities litigation and a primer on U.S. securities.

During Week 1 of the program, lectures will be held in London.

During Week 2 of the program, students will attend a series of lectures led by securities practitioners at McCarthy Tétrault LLP's Toronto offices.

During Week 3 of the program, lectures will be held in London.

During Week 4 of the program, students will attend another series of lectures led by securities practitioners at McCarthy Tétrault LLP Toronto offices.

The Toronto sessions may include presentations by securities regulators and investment bankers.