证券发行与投资银行监管》课程大纲

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1、33ActCourseand34ActCourseSchMulinqSheetPre-Class33ActCourse/34ActCourseJointInformationSessionAgenda:•Coursebackgroundcommontoboth33ActCourseand34ActCourse•Pedagogy(i.e.teachingmethodology)sharingwith,andseekinginputfrom,students•Q&Aswithstudents(e.g.coursematerials,research,c

2、opyrightcomplianee,etc)•ReadingassignmentforfirstclassTimeandPlace:•Duration:30-45minutes•TimeandlocationTBD(tobedetermined)ScheduleInformationfor33ActCourse•CourseTitle:RegulationofSecuritiesOfferingandInvestmentBanking《证券发行与投资银行监管》•ShortName:33ActCourse(asthecourseiscommonly

3、knownintheUS)•ClassSchedule:Thursday4:10pm—5:00pm;5:10pm—6:00pmSeptember23TH(firstclass);Jan6TH(lastclass)Jan9—Jan22reviewandexamperiod•Classroom:G304ScheduleInformationfor34ActCourse•CourseTitle:RegulationofSecuritiesTradingandMarkets《证券交易与证券市场监管》•ShortName:34ActCourse(asthec

4、ourseiscommonlyknownintheUS)•ClassSchedule:Friday8:00am一8:50am;9:00am一9:50amSeptember24Fr(firstclass);Jan7Fr(lastclass)Jan9—Jan22reviewandexamperiod•Classroom:G304OfficeHoursAnytimeduringweekdays,EXCEPTclass-sessiontimeandtheone-hourperiodimmediatelyprecedingaclasssessionCours

5、eSyllabusSTUBusinessSchoolAutumn2010-2011RegulationofSecuritiesOfferingandInvestmentBanking《证券发行与投资银行监管》CourseObjectiveThiscourseaimsatequippingstudentswiththeknowledgeoftheprimaryofferingorcapitalformationpartofthesecuritiesmarkets,adoptingboththeoreticalandpracticalapproache

6、s.Ittriestofamiliarizestudentswiththeprocessofsecuritiesofferings;therolesofissuers,investmentbankers,researchanalysts,andotherplayersintheprimarymarkets;keyregulatoryissuesrelatedtosecuritiesofferings;andunusualinvestmentvehiclesandevolvingfinancialderivatives.Initially,theco

7、urse，sprioritywillbetodevelopandenhancestudents5theoreticalgraspandanalyticalabilityinthefieldofcapitalformation.Inthefuture,thecoursemayadditionallyaimtodevelopandenhancestudents9abilitytoconductresearchinbothEnglishandChineseandtoapplytheoriestoresolverealworldissues,inthefi

8、eldofcapitalformationofthesecuritiesmarkets.ScopeofStudyThisc