Modiwl ASB-4446:
Financial Ethics & Regulation

Ffeithiau’r Modiwl

Rhedir gan Bangor Business School

15.000 Credyd neu 7.500 Credyd ECTS

Semester 1

Trefnydd: Prof John Ashton

Amcanion cyffredinol

The module considers financial ethics and conduct of business regulation of institutions and individuals working in the financial services industry. The module is aimed at Post Graduate students within the business school studying certain professionally accredited courses. The module moves through a range of concerns from examples of poor ethical practice in financial services, business ethics and how these can be applied in the financial setting and the forms of conduct of business regulation employed in the UK and internationally to counter poor conduct and ethical behaviour in financial services markets. The module is focused on developing professional and ethical practice of financial services managers as well as assisting an individual to navigate ethical decision making in the financial services industry at a time of increased public and regulatory scrutiny.

Cynnwys cwrs

The lecture programme will outline the principle areas of content with specific skills honed within seminars. The lecture programme will be introduced through considering past cases of poor ethical practice in financial services industry to motivate the subsequent studies. The module will then develop to consider moral and normative ethics in a business context, the application of ethical principles within key financial services areas including lending, investment and trading. The lecture programme will then consider the role of individuals, organisations and corporate governance arrangements in financial services decision making, expected professional standards and the evolution of conduct of business regulation internationally within the financial services industry.

Meini Prawf

trothwy

o Knowledge of key areas/principles o Understands main areas o Limited evidence of background study o Answer focussed on question but also with some irrelevant material and weaknesses in structure o Arguments presented but lack coherence o Has several factual errors o No original interpretation o Only major links between topics are described o Limited problem solving o Some weaknesses in presentation and accuracy

C- i C+

C- to C+ (50-59%): Much of the relevant information and skills mostly accurately deployed. Adequate grasp of theoretical/conceptual/practical elements. Fair integration of theory/practice/information in the pursuit of the assessed work's objectives. Some evidence of the use of creative and reflective skills.

da

o Understands most but not all o Evidence of background study o Focussed answer with good structure o Arguments presented coherently o Mostly free of factual errors o Some limited original interpretation o Well known links between topics are described o Problems addressed by existing methods/approaches o Good presentation with accurate communication

ardderchog

Excellent standard: 80+ 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.

Canlyniad dysgu

  1. Comprehend the role of the organisations and systems of corporate governance within ethical and professional practice.

  2. Demonstrate a comprehension of the key processes underlying the regulation of conduct of business within financial services industries.

  3. Consider critically what might form professional decision making.

  4. To develop a critical understanding of ethical concepts and how these apply to professional conduct in the financial services industry.

  5. Understand both how financial services should be provided and when such services are supplied sub-optimally.

Dulliau asesu

Math Enw Disgrifiad Pwysau
2,000 Word Essay 25.00
Final Examination Mark 75.00

Strategaeth addysgu a dysgu

Oriau
Private study 120
Lecture

Ten three hour lectures, one of which includes a revision session.

 30

Sgiliau Trosglwyddadwy

  • Llythrennedd - Medrusrwydd mewn darllen ac ysgrifennu drwy amrywiaeth o gyfryngau
  • Rhifedd - Medrusrwydd wrth ddefnyddio rhifau ar lefelau priodol o gywirdeb
  • Hunanreolaeth - Gallu gweithio mewn ffordd effeithlon, prydlon a threfnus. Gallu edrych ar ganlyniadau tasgau a digwyddiadau, a barnu lefelau o ansawdd a phwysigrwydd
  • Archwilio - Gallu ymchwilio ac ystyried dewisiadau eraill
  • Adalw gwybodaeth - Gallu mynd at wahanol ac amrywiol ffynonellau gwybodaeth
  • Sgiliau Rhyngbersonol - Gallu gofyn cwestiynau, gwrando'n astud ar atebion a'u harchwilio
  • Dadansoddi Beirniadol & Datrys Problem - Gallu dadelfennu a dadansoddi problemau neu sefyllfaoedd cymhleth. Gallu canfod atebion i broblemau drwy ddadansoddiadau ac archwilio posibiliadau
  • Dadl - Gallu cyflwyno, trafod a chyfiawnhau barn neu lwybr gweithredu, naill ai gydag unigolyn neu mewn grwˆp ehangach
  • Hunanymwybyddiaeth & Ystyried - Bod yn ymwybodol o'ch cryfderau, gwendidau, nodau ac amcanion eich hun. Gallu adolygu ,cloriannu a myfyrio'n rheolaidd ar eich perfformiad eich hun ac eraill.

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