Modiwl ASB-4446:
Financial Ethics & Regulation
Financial Ethics & Regulation 2026-27
ASB-4446
2026-27
Bangor Business School
15 credits
Module Organiser:
Ian Roberts
Overview
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.
Assessment Strategy
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.
Assessment method
Exam (Centrally Scheduled)
Assessment type
Summative
Description
Final Examination Mark
Weighting
60%
Due date
09-01-2023
Assessment method
Case Study
Assessment type
Summative
Description
Professional Standards for Banking & Finance This is a structured, computer-based assessment comprising six short ethical scenarios. Each scenario includes short readings and video material designed to develop applied understanding of professional standards in banking and finance. Students complete a short multiple-choice test at the end of each scenario to demonstrate comprehension and application of key ethical principles. The assessment supports the development of professional judgement and ethical awareness aligned to industry standards. Successful completion leads to a professional certificate, which students may share on professional networking platforms as evidence of engagement with recognised industry ethics training.
Weighting
10%
Due date
25-11-2022
Assessment method
Class Test
Assessment type
Summative
Description
In-Semester Multiple Choice Test (MCQ) This is an invigilated, computer-based multiple-choice assessment designed to assess students’ knowledge and understanding of key concepts, ethical principles, and technical terminology covered in the first half of the module. Questions are structured to test both comprehension and applied understanding, requiring students to interpret short scenarios, identify appropriate professional responses, and distinguish between closely related concepts. The assessment provides broad sampling of the curriculum and ensures coverage across core areas of the module. The purpose of this assessment is to ensure that students develop a secure foundation of subject knowledge. Foundational knowledge is necessary for higher-level critical thinking and evaluative work later in the module, particularly in the final examination. By consolidating core concepts early in the semester, the MCQ supports progression to more complex and integrative forms of assessment. The assessment is summative and contributes to the overall module mark. As a time-limited, invigilated assessment, it is designed to promote academic integrity and sustained engagement with the module content.
Weighting
30%