FINANCIAL INSTRUMENTS LAW | Università degli studi di Bergamo

FINANCIAL INSTRUMENTS LAW

Attività formativa monodisciplinare
Codice dell'attività formativa: 
162012-ENG

Scheda dell'insegnamento

Per studenti immatricolati al 1° anno a.a.: 
2021/2022
Insegnamento (nome in italiano): 
FINANCIAL INSTRUMENTS LAW
Insegnamento (nome in inglese): 
FINANCIAL INSTRUMENTS LAW
Tipo di attività formativa: 
Attività formativa Caratterizzante
Tipo di insegnamento: 
Obbligatoria
Settore disciplinare: 
DIRITTO COMMERCIALE (IUS/04)
Anno di corso: 
1
Anno accademico di offerta: 
2021/2022
Crediti: 
6
Responsabile della didattica: 

Altre informazioni sull'insegnamento

Modalità di erogazione: 
Didattica Convenzionale
Lingua: 
Inglese
Ciclo: 
Primo Semestre
Obbligo di frequenza: 
No
Ore di attività frontale: 
48
Ore di studio individuale: 
102
Ambito: 
Giuridico
Prerequisites

None

Educational goals

The course aims to allow the student to acquire knowledge of the discipline of
financial instruments, starting from the understanding of the founding principles
of the financial market. The scope will be extended to all regulatory sub-sectors
(brokerage; trading systems; listed companies) keeping in mind especially the
perspective of the action of private subjects, urging the student to familiarize
himself with the categories, dynamics and institutions in this regard typical (such
as brokerage firms, collective investment schemes, market management
companies, supervisory authorities).
After an introduction that will cover the principles of the regulation of
intermediaries and trading venues, the course will focus more specifically on the
illustration of financial instruments, first of all investigating their type.
Next, we will first examine the rules relating to the solicitation of public in the
initial placement and then the rules concerning the circulation of financial
instruments in the secondary market.
In this regard, the discipline of listed companies will be analyzed in detail.
At the end of the course, students will be able to know the regulatory framework
within which transactions on financial instruments take place.

Course content

- The needs of the market system and the reasons for its regulation
- Institutes and institutions
- Intermediaries: Investment Firms; UCITS managers; The investment services
- Financial products and financial instruments. Stocks, bonds and other financial
instruments
- The regulated market and the other trading venues
- The solicitation of public and the regulation of the prospectus
- Solicitation of investment in SME through crowdfunding
- The takeover bid
- The regulation of issuers. Principles
- Corporate information
- The transparency of the corporate ownership
- The shareholders’ rights
- Corporate governance: management and control of public corporations

Teaching methods

The course combines traditional oral lessons and seminars. Both traditional
lessons and seminars aim at fostering participation and class discussion.
Readings and case law will be indicated during the course.

Assessment and Evaluation

Final oral exam