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Магистратура 2020/2021

Этические и профессиональные стандарты

Статус: Курс обязательный (Финансовый аналитик)
Направление: 38.04.08. Финансы и кредит
Где читается: Банковский институт
Когда читается: 2-й курс, 1 модуль
Формат изучения: без онлайн-курса
Прогр. обучения: Финансовый аналитик
Язык: английский
Кредиты: 3
Контактные часы: 20

Course Syllabus

Abstract

This course is targeted on a developing of practical knowledge and recognition of standards of professional conduct that is conventional in financial industry. b. Pre-requisites: Financial Reporting and Analysis, Financial Instruments Market: Fixed Income and Equity c. Course Type: Compulsory
Learning Objectives

Learning Objectives

  • The students should be able to: • explain ethics; • describe the role of a code of ethics in defining a profession; • identify challenges to ethical behavior; • describe the need for high ethical standards in the investment industry; • distinguish between ethical and legal standards; • describe and apply a framework for ethical decision-making.
Expected Learning Outcomes

Expected Learning Outcomes

  • The successful students should be able to: • evaluate policies and practices for a firm and an individual in relation to the Code of Ethics and Standards of Professional Conduct; • explain the appropriate action to take in response to conduct that violates the Code of Ethics and Standards of Professional Conduct.
Course Contents

Course Contents

  • CFA Institute Professional Conduct Program
  • The Code of Ethics
  • The Standards I-VII overview
  • Standard I – Professionalism
  • Standard II – Integrity of Capital Markets
  • Standard III – Duties to Client
  • Standard IV – Duties to Employer
  • Standard V – Investment Analysis, Recommendations, and Actions
  • Standard VI – Conflict of Interest
  • Standard VII – Responsibilities as CFA Institute Members and Candidates
  • Standards I-VII Case Studies
Assessment Elements

Assessment Elements

  • non-blocking the solution of three practical cases
  • non-blocking final exam
  • non-blocking the solution of three practical cases
  • non-blocking final exam
Interim Assessment

Interim Assessment

  • Interim assessment (1 module)
    0.7 * final exam + 0.3 * the solution of three practical cases
Bibliography

Bibliography

Recommended Core Bibliography

  • Becker, C. U. (2019). Business Ethics : Methods and Application. New York: Routledge. Retrieved from http://search.ebscohost.com/login.aspx?direct=true&site=eds-live&db=edsebk&AN=1982142
  • Sison, A. G., Ferrero Muñoz, I., & Guitián, G. (2018). Business Ethics : A Virtue Ethics and Common Good Approach. New York: Routledge. Retrieved from http://search.ebscohost.com/login.aspx?direct=true&site=eds-live&db=edsebk&AN=1729153

Recommended Additional Bibliography

  • Okpara, J. O., Mboga, J., & Lau, E. (2019). Culture and attitudes towards business ethics: Empirical evidence from an emerging economy. International Journal of Business & Applied Sciences, 8(2), 9–28. Retrieved from http://search.ebscohost.com/login.aspx?direct=true&site=eds-live&db=bsu&AN=138408503
  • Wernaart, B. F. W., LL.M., & Ph.D.,. (2018). Ethics and Business : A Global Introduction (Vol. First edition). Utrecht, The Netherlands: Noordhoff Uitgevers BV. Retrieved from http://search.ebscohost.com/login.aspx?direct=true&site=eds-live&db=edsebk&AN=1921064