Financial Ethics & Regulation
Financial Ethics & Regulation 2023-24
Bangor Business School
Module - Semester 1
This module is delivered via lectures and workshops wherein students are expected to engage with the material through classroom discussion. Case studies are drawn from examples of poor ethical practice in banking and finance and are used to support student learning. You will consider moral and normative ethics in a business context, and the application of ethical principles within key financial services areas including lending, investing and trading. The role of individuals, organisations, and corporate governance arrangements are considered. Professional standards such as those from ACCA, CFA, CBI and CISI are introduced along with broader regulation of the industry and conduct of business.
Threshold c- to c+ (50-59%): Satisfactory performance. No major omissions or inaccuracies in the deployment of information/skills. Some grasp of theoretical/conceptual/practical elements. Integration of theory/practice/information present intermittently in pursuit of the assessed work's objectives. Knowledge of key areas/principles only. Weaknesses in understanding of some areas. Limited evidence of background study. Answer inadequately focused on task and with some irrelevant material and poor structure. Arguments presented but lack coherence. Minor factual/computational errors. Lacking original interpretation.
Good B- to B+ (60-69%): Good performance. Most of the relevant information accurately deployed. Good grasp of theoretical/conceptual/practical elements. Good integration of theory/practice/information in pursuit of the assessed work's objectives. Evidence of the use of creative and reflective skills. Understands most but not all concepts/issues. Evidence of background study. Focused answer with good structure. Arguments presented coherently. Mostly free of factual errors. Some limited original interpretation. Well known links between topics are described. Problems addressed by existing methods/approaches. Good presentation with accurate communication
Excellent standard: 70+ An outstanding performance, exceptionally able. The relevant information accurately deployed. Excellent grasp of theoretical/conceptual/practice elements. Good integration of theory/practice/information in pursuit of the assessed work's objectives. Strong evidence of the use of creative and reflective skills.
- Comprehend the role of the organisations and systems of corporate governance within ethical and professional practice.
- Consider critically what might form professional decision making.
- Demonstrate a comprehension of the key processes underlying the regulation of conduct of business within financial services industries.
- To develop a critical understanding of ethical concepts and how these apply to professional conduct in the financial services industry.
- Understand both how financial services should be provided and when such services are supplied sub-optimally.
2,000 Word Essay
Exam (Centrally Scheduled)
Final Examination Mark