Short Course Description
General elective course.
Prerequisite: Fundamentals of Business Law.
The course will deal with two topics: one - securities law, and the other - ethics in securities.
In the first part of the course we will review the main laws and regulations related to securities including the Companies Law (definition of company, types of companies, organs and functionaries in the company, duties applicable to officers and decision-making methods); Securities Law (with an emphasis on disclosure obligations, publication of a prospectus in the issuance of securities, reporting obligations, including periodic and immediate reports); Mutual Investments in Trust Law (definition of mutual fund and how it is established, types of mutual funds, fund manager and fund trustee and the restrictions that apply to them, ongoing management of the fund and the rules that apply to holdings in the fund).
In the second part of the course we will deal with permitted actions and actions that are prohibited in everything related to securities, including: securities offenses (use of inside information, fraud and the offense of an employee of a stock exchange member); Professional ethics for those engaged in consulting, marketing or managing investment portfolios, distinguishing between licensees and non-licensees; And obligations under the Anti-Money Laundering Act and the orders issued under it
Full Syllabus
