Module Overview
Learning Objectives
Contractual Issues
Negligent Misstatement
Licensing of Persons Who Carry On The Business Of Investment Advice, Advising In Corporate Finance And Their Representatives
Prohibited Conduct And Insider Trading
Conclusion

Contract Issue: Everything You Need to Know

Contract issues like understanding the terms of contracts and how they work are vital for those who are planning to make agreements with other parties.
Contract issue is an important topic for anyone who is planning to make agreements and deals with other businesses or individuals. You simply cannot rely on a verbal agreement and expect a contract to be fully enforced. Understanding the terms of contracts and how they work could save you thousands of dollars and a lot of headaches down the road…Read more

A prudent person who carries on the business of investment advice and/or advising on corporate finance should be aware of the relevant laws and principles regulating his conduct and actions, in particular.
1. CONTRACT LAW
2. TORT
3. SECURITIES LAW

This part of the module covers the rights, duties and liabilities of a person who carries on the business of investment advice and/or advising on corporate finance and the minimum standard of conduct that such an advisor should adhere to.
The first section sets out general principles of the law of contract, including how a contractual relationship can arise between the adviser and his client and the possible remedies for breach of contract. Therefore, we will examine negligence misstatement which is an important topic as a person who carries on the business of investment advice and/or advising on corporate finance is expected to fulfill their duty and meet a certain standard of care when giving advice to any person regarding securities. The failure to do so may warrant aa negligence suit against them. In addition, we will discuss the need for advisers to be licensed, the criteria for obtaining a license, circumstances where licenses can be revoked and the general duties of a licence holder. We shall also examine the relationship between an adviser and its client and the statutury requirements and professional obligations.

Learning Objectives
At the end of this topic, all of you should be able to:
(a) Examine contractual issues that may arise out of commercial relationships including outlining the law of contract, describing the essential elements of contract and describing the remedies for breach of contract.
(b) Describe the essential elements of the tort of negligence.
(c) Explain the licensing criteria for persons who carry on the business of investment advice, and/or advising on corporate finance and their representatives.
(d) Describe the duty and standard of care applicable to license holders
(e ) Analyse the provision under the laws of securities relating to the relationship between a holder of a Capital markets Services License (CMSL) for carrying on the business of investment advice and/or advising on corporate finance and its client.

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Module Outlines – Contractual Issues – Negligent Misstatement – Licensing of Persons Who Carry On The Business Of Investment Advice, Advising On Corporate Finance And Their Representatives – Prohibited Conduct And Insider Trading – Conclusion.

Equity Guidelines

CHAPTER 5 : EQUITY OFFERINGS AND LISTINGS
CHAPTER 6 : SPECIAL PURPOSE ACQUISITION COMPANY