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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
Lecture
Practice, Seminar
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
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%
- Grading rubrics for individual/group presentation
Criteria
CLO
Weighted Average
Levels of Assessment
Grade
A
B
C
D
F
8,5-10
7-8,4
5,5-6,9
4,0-5,4
<4
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
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
Presentation time
5%
Stay on time
Over ¼ time limit
Over 1/3 time limit
Over ½ time limit
Double time limit
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.