Course Listing

Law and Practice of Investment Management
Last Updated Date:   29 August 2024


5 Units,  Semester 1

Course Description:
This course focuses on the law, directives and guidelines pertaining to the conduct of investment management activity in Singapore. The primary focus is on the regulatory regime in Singapore but significant elements of selected foreign regulatory regimes affecting investment managers in Singapore will also be introduced. Some of the latest industry trends will be examined. The course is tailored to lay a foundation for those considering a career in the investment management industry, either as a legal practitioner in a law firm or as an in-house legal counsel or compliance officer within an investment management company.

Course Convenor: Adjunct Prof Benatt Lee Beng Tat

Co-teacher(s): NA

Course Codes: LL4475V / LL5475V / LL6475V / LLJ5475V

Contact Hours: 3-hr weekly seminar

Workload: 3 hours

Mode of Assessment: Class Participation - 15%; Mid-term test - 20% & 3-hr Take Home Exam - 65% [Release: Thu, 21 Nov 2024 (4pm); Due: Thu, 21 Nov 2024 (7pm)]

Preclusions: There is minimal overlap with the other existing courses. The main takeaway is that this new course is very much focused on the regulatory issues that arise in the day-to-day activity of investment management. It is structured from the perspective of someone engaged in advising on regulatory compliance issues faced by an investment manager. As such, the coverage is quite wide, but it will not go into the same depth on some of the topics covered by the other more narrowly focused electives. It is meant to lay a good groundwork for those seeking to pursue a career in this field, with a focus not only on the law but also the practice of investment management in navigating the regulatory environment. The course also covers many topics not covered by the existing courses.

Prerequisites: NUS Compulsory Core Law Curriculum or common law equivalent.

Examination Date: Different Mode of Examination

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