1. COURSE OBJECTIVES
This course is designed to provide students rules which are conforming with ethical codes set by professional organizations, as well as standards to be a professional financial analyst in the industry. Besides, students are also equipped with some advanced knowledge about corporate governance.
2. COURSE CONTENT
|
No. |
Content |
Time Allocation |
Contribution to CLO |
|||
|
Hour(s) on the class |
Essays, exercise, Assignments |
Self-study with teacher’s tutorials |
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|
Lecture |
Practice, Seminar |
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|
1 |
Chapter 1: Introduction to the investment industry and investment ethics |
4 |
2 |
3 |
10 |
1, 7, 8, 9 |
|
2 – 3 |
Chapter 2: Professionalism |
6 |
3 |
4.5 |
13.5 |
1, 7, 8, 9 |
|
4 – 5 |
Chapter 3: Integrity of capital market |
6 |
3 |
4.5 |
13.5 |
2, 7, 8, 9 |
|
6 – 7 |
Chapter 4: Duties to clients |
6 |
3 |
4.5 |
13.5 |
3, 7, 8, 9 |
|
8 – 9 |
Chapter 5: Duties to employers |
4 |
2 |
3 |
10 |
3, 7, 8, 9 |
|
10 – 11 |
Chapter 6: Investment analysis, recommendations and actions |
4 |
2 |
3 |
9 |
4, 7, 8, 9 |
|
12 – 13 |
Chapter 7: Conflict of interests |
3 |
0 |
3 |
6.5 |
5, 7, 8, 9 |
|
14 – 15 |
Chapter 8: Corporate Governance |
3 |
0 |
3 |
6.5 |
6, 7, 8, 9 |
|
Total (hour) |
30 |
15 |
22.5 |
82.5 |
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3. COURSE ASSESSMENT
– Score ladder: 10
– Type of assessment
|
Form |
Content |
Criteria |
CLO |
Proportion |
|
|
Formative |
Attendance |
Level of class participation |
The number of attendances and participation in lesson |
7 – 10 |
10% |
|
Mid-term Exam and/or Group presentation |
Knowledge achieved up to lecture 7 or 8. |
MCQ mid – term exam in 30 minutes and/or group presentation |
1 – 4, 7 – 10 |
30% |
|
|
Summative |
Final test |
Knowledge achieved throughout the course |
MCQ and/or written exam (at least 60 mins) |
1 – 10 |
60% |
|
Total: |
100% |
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- Grading rubrics for individual/group presentation
|
Criteria |
CLO |
Weighted Average |
Levels of Assessment |
Grade |
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|
A |
B |
C |
D |
F |
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|
8,5-10 |
7-8,4 |
5,5-6,9 |
4,0-5,4 |
<4 |
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|
Presentation Organization |
10% |
Clear and coherent organization which is easy and pleasant to follow |
Quite clear organization which is easy to follow |
Presentation organization is not clear and difficult to follow |
Presentation organization is unclear and incoherent |
Presentation organization is unclear, incoherent and difficult to follow. |
||
|
Presentation Content |
50% |
Content is very clear, coherent, and interesting. Main ideas are well developed and supported throughout the presentation |
Content is good with clear ideas, but some parts are not logical |
Content is unclear with some incoherent and vague main ideas |
Substandard content which lacks logical organization. Ideas are vague with little evidence of critical thinking |
Poor content with “copy and paste”, incoherent ideas |
||
|
Presentation skills |
10% |
Good and clear presentation, using body language to effectively attract and interact with audience |
Clear presentation with body language, but inadequate interaction with audience |
Mediocre presentation without body language and inadequate interaction with audience |
Substandard presentation without body language and inadequate interaction with audience |
Poor presentation without body language and inadequate interaction with audience |
||
|
Q & A |
10% |
Fluently answer all questions from audience |
Answer about 2/3 questions from audience |
Answer about 1/2 questions from audience |
Answer about 1/3 questions from audience |
Unable to answer any questions from audience |
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|
Use of media |
10% |
PPT is clear, relevant and well-designed. Handouts are provided to audience |
PPT is well-designed and easy to follow |
PPT is simple |
PPT is poorly designed and hard to follow |
None |
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|
Presentation time |
5% |
Stay on time |
Over ¼ time limit |
Over 1/3 time limit |
Over ½ time limit |
Double time limit |
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|
Dress code |
5% |
Formal and professional dress code |
Formal and neat dress code |
Casual and informal dress code |
Casual dress code |
Unsuitable and impolite dress code. |
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