Warning! The directory is not yet complete and will be amended until the beginning of the term.
030297 KU Access to Capital Markets, IPO/ICO and Investment Funds (2026W)
A Comparative EU-US Approach
Continuous assessment of course work
Labels
Registration/Deregistration
Note: The time of your registration within the registration period has no effect on the allocation of places (no first come, first served).
- Registration is open from Mo 14.09.2026 00:01 to Su 11.10.2026 23:59
- Deregistration possible until Tu 27.10.2026 23:59
Details
max. 40 participants
Language: English
Lecturers
Classes (iCal) - next class is marked with N
- N Tuesday 27.10. 15:00 - 18:00 Seminarraum SEM44 Schottenbastei 10-16, Juridicum 4.OG
- Wednesday 28.10. 14:00 - 17:00 Seminarraum SEM43 Schottenbastei 10-16, Juridicum, 4.OG
- Thursday 29.10. 15:00 - 18:00 Seminarraum SEM43 Schottenbastei 10-16, Juridicum, 4.OG
- Tuesday 03.11. 15:00 - 18:00 Seminarraum SEM51 Schottenbastei 10-16, Juridicum 5.OG
- Wednesday 04.11. 14:00 - 17:00 Seminarraum SEM44 Schottenbastei 10-16, Juridicum 4.OG
- Thursday 05.11. 15:00 - 18:00 Seminarraum SEM34 Schottenbastei 10-16, Juridicum, 3.OG
Information
Aims, contents and method of the course
Assessment and permitted materials
Students will be graded based on two factors:
1. Classroom participation – 40% of grade.
2. Short exam (either written or oral, depending on the size of the class) – 60% of grade.
1. Classroom participation – 40% of grade.
2. Short exam (either written or oral, depending on the size of the class) – 60% of grade.
Minimum requirements and assessment criteria
See above.
Examination topics
This course is held in block format and, therefore, continuous participation informed by the required pre-readings is essential. The examination material comprises all topics, readings, discussions, and other material covered during the course.
Reading list
Pre-readings will be introduced as part of the first lesson. No readings are required before the course starts.
Association in the course directory
Last modified: We 30.09.2026 10:45
The answers to all these questions are shaped by law, for example by mandated information disclosure, investment fund regulation, and exchange law. We will see how the differences of EU and US legal frameworks may contribute to the difference in number between EU and US listed companies, the transatlantic debate about ESG, the fraud at Wirecard, and Elon Musk's pay. This is going to be fun!In order to explore from various angles, our two-week intensive course is taught by a an experienced practitioner from the US Securities and Exchange Commission (SEC) and an academic from the EU.
The first half of the course offers a basic explanation of financial market actors and their regulation. (No prior knowledge of capital markets law or finance is required for this course.) In this context, we also compare public funding to bank loans, "venture capital" and "private equity", and discuss the actual Initial Public Offering process for listing shares on a stock exchange. In the second half of the course, we deep-dive into the regulation of investment intermediaries, in particular brokers and dealers. The third part will deal with information intermediaries, such as credit rating agencies.