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Course Syllabus

Master 2021/2022

Ethical and Professional Standards

Type: Compulsory course (Financial Analyst)
Area of studies: Finance and Credit
Delivered by: HSE Banking Institute
Where: HSE Banking Institute
When: 2 year, 1 module
Mode of studies: offline
Open to: students of one campus
Master’s programme: Financial Analyst
Language: English
ECTS credits: 3
Contact hours: 20

Course Syllabus

Full 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. The course covers the CFA Ethic and Professional Standards and Ethical Practices applicable to Portfolio Management. The course introduces the CFA Institute Guidance for Standards and is illustrated with real life cases and codes adopted by corporations worldwide.
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
  • Standard III – Duties to Client
  • The Standards I-VII overview
  • Standard I – Professionalism
  • Standards I-VII Case Studies
  • Standard II – Integrity of Capital Markets
  • Standard VII – Responsibilities as CFA Institute Members and Candidates
  • Standard VI – Conflict of Interest
  • Standard IV – Duties to Employer
  • Standard V – Investment Analysis, Recommendations, and Actions
Assessment Elements

Assessment Elements

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

Interim Assessment

  • 2021/2022 1st module
    0,3 three practical cases + 0,7 final exam
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