Alessio DI AMATO | Securities Law
Alessio DI AMATO Securities Law
cod. 0222400004
SECURITIES LAW
| 0222400004 | |
| DIPARTIMENTO DI SCIENZE ECONOMICHE E STATISTICHE | |
| EQF7 | |
| STATISTICAL SCIENCES FOR FINANCE | |
| 2017/2018 |
| OBBLIGATORIO | |
| YEAR OF COURSE 1 | |
| YEAR OF DIDACTIC SYSTEM 2014 | |
| SECONDO SEMESTRE |
| SSD | CFU | HOURS | ACTIVITY | |
|---|---|---|---|---|
| IUS/05 | 10 | 60 | LESSONS |
| Objectives | |
|---|---|
| KNOWLEDGE AND UNDERSTANDING STUDENTS WILL DEVELOP AN ABILITY OF USE AWARE OF THE TECHNICAL ERMENEUTICHES AND OF CRITICAL ANALYSIS OF THE DISCIPLINE OF THE LAW OF FINANCIAL BROKERAGE AND LISTED COMPANIES, IN THEIR DIFFERENT ARTICULATIONS. IN SUCH WAY THEY WILL ACQUIRE SUITABLE CONCEPTUAL TOOLS TO FACE AN ECONOMIC REALITY JURIDICAL IN CONSTANT EVOLUTION. APPLYING KNOWLEDGE AND UNDERSTANDING THROUGH THE STUDY OF THE SUBJECT, STUDENTS WILL REFINE THEIR SENSITIVITY TO THE LEGAL ISSUES UNDERLYING THE LAW OF FINANCIAL BROKERAGE AND TO DEVELOP COGNITIVE TOOLS FOR THE INDIVIDUALIZATION OF THE MOST EFFICIENT SOLUTIONS. STUDENTS IN VIRTUE OF THE ACQUIRED PROBLEMATIC METHODOLOGICAL APPROACH WILL HAVE MATURED AN INDIVIDUAL CRITICAL ABILITY AND THEY WILL BE ABLE SO TO ASSURE THAT THE ACTIVITY OF LAW OF FINANCIAL BROKERAGE, IN ITS EVERY PHASE, DEVELOPS IN CONFORMITY WITH THE IN FORCE DISCIPLINE. |
| Prerequisites | |
|---|---|
| PRIVATE LAW - COMMERCIAL AND CORPORATE LAW |
| Contents | |
|---|---|
| INTRODUCTION TO THE DISCIPLINE OF FINANCIAL MARKETS. CONSOB E BANK OF ITALY. THE APPEAL BY THE PUBLIC.CORPORATE INFORMATION. LISTED COMPANIES.THE DISCIPLINA MARKET ABUSE. FINANCIAL INSTRUMENTS. AUTHORISED PERSONS.SERVICES AND INVESTMENT ACTIVITIES. CROSS-BORDER OPERATION. OFF-SITE. INVESTOR PROTECTION. ASSET MANAGEMENT. INJUNCTIVE RELIEF AGAINST INTERMEDIARIES CRISIS. |
| Teaching Methods | |
|---|---|
| FRONTAL LESSONS, SEMINARS, EXERCISES, DISCUSSIONS IN THE CLASSROOM, INDIVIDUAL PROBLEM SOLVING. |
| Verification of learning | |
|---|---|
| AN EXAMINATION RESULTING IN A SCORE OUT OF 30 ASSESSES THE ACHIEVEMENT OF THE TARGETS OF THE TEACHING’S PROGRAMME. THE ASSESSMENT CONSISTS OF A NON-MANDATORY PROGRESS TEST AND OF AN ORAL EXAMINATION BASED ON TOPICS CHOSEN BY THE PROFESSOR. THE PROGRESS TEST CONSISTS OF SIX WRITTEN MULTIPLE CHOICE QUESTIONS AND OF TWO WRITTEN OPEN-ENDED QUESTION. THE PROGRESS TEST COVERS THE FOLLOWING TOPICS: SOURCES OF REGULATION; AUTHORITIES – INTERMEDIARIES – FINANCIAL SERVICES – FINANCIAL INSTRUMENTS – RULES OF CONDUCT – PLACEMENT OF FINANCIAL SERVICES AND PRODUCTS. THE REMAINING ORAL EXAMINATION COVERS THE FOLLOWING TOPICS: SAFEGUARD OF CLIENTS – MEASURES AND BANKRUPTCY PROCEEDINGS; INITIAL PUBLIC OFFERING – PUBLIC BID – INFORMATION TO THE MARKET – LISTED COMPANIES – MARKET ABUSE – SANCTIONS – ANTI MONEY LAUNDERING. THE PROGRESS TEST TAKES PLACE APPROXIMATELY TOWARDS THE END OF THE COURSE AND IT LASTS 40 MINUTES. THE ORAL EXAMINATION TAKES PLACE ACCORDING TO THE DATES OF THE RELEVANT CALENDAR. THE TOTAL SCORE (30/30) OF THE PROGRESS TEST CONSISTS: OF THREE POINTS FOR EACH MULTIPLE CHOICE CORRECT ANSWER AND OF ZERO FOR EACH MISTAKE OR NOT GIVEN ANSWER; AND OF A SCORE BETWEEN ZERO AND 6 FOR THE OPEN-ENDED QUESTION, ACCORDING TO THE FOLLOWING JUDGMENTS: GRAVELY INSUFFICIENT; INSUFFICIENT; SUFFICIENT; FAIR; AND GOOD. THE ORAL EXAMINATION OF THE STUDENT IS ASSESSED WITHIN A SCALE OF MARKS OUT OF 30 AND IT IS PASSED FROM 18/30, ACCORDING TO THE FOLLOWING JUDGMENTS: GRAVELY INSUFFICIENT; INSUFFICIENT; SUFFICIENT; FAIR; AND GOOD. THE PROGRESS TEST AND THE ORAL EXAMINATION AIM AT ASSESSING: THE LEVEL OF UNDERSTANDING AND KNOWLEDGE ACHIEVED BY THE STUDENTS CONCERNING THE CONTENT OF THE PROGRAM; THE COMMAND OF METHODOLOGICAL INSTRUMENTS; AND THE CAPACITY OF APPLYING KNOWLEDGE TO THE SOLUTION OF THEORETICAL AND PRACTICAL PROBLEMS. FINAL EVALUATION RESULTS FROM THE AVERAGE OF THE SCORES ACHIEVED IN THE PROGRESS TEST AND THE ORAL EXAMINATION. IF THE STUDENT DECLINES THE PROGRESS TEST’S SCORE, THE ORAL EXAMINATION SHALL COVER ALL THE AFOREMENTIONED TOPICS, AND IT IS SUCCESSFUL WHEN THE MINIMUM SCORE OF 18/30 IS ACHIEVED. |
| Texts | |
|---|---|
| F. ANNUNZIATA, LA DISCIPLINA DEL MERCATO MOBILIARE, GIAPPICHELLI, LAST EDITION, (CHAPTER I, II, III, IV, V, VI, VII, VIII, IX, X, XI, XV, XVI, XVII, XVIII) S. AMOROSINO, MANUALE DI DIRITTO DEL MERCATO FINANZIARIO, GIUFFRÈ, LAST EDITION (PART I (ALL); PART II(ALL); PART IV (ALL); PART V (ONLY CAP. I). |
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