Rhedir gan Bangor Business School

15.000 Credyd neu 7.500 Credyd ECTS

Semester 1 a 2

Trefnydd: Mr Robert Souster

The module considers financial ethics and conduct of business regulation of institutions and individuals working in the financial services industry. 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. The module critically evaluates forms of conduct of business regulation employed in the UK and internationally to counter poor conduct and inappropriate 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.

The lecture programme will outline the principal areas of content and critically discuss questions dominating this subject area. 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.

trothwy

C- to C+ (50-59%): 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.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;

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B- to B+ (60-69%): Very 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 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

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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.

1. Develop a questioning and evaluative understanding of financial services' characteristics and where these services are appropriately and ethically employed. Critically comprehend the implications of different strategic decisions for the firm.

2. Demonstrate the ability to make informed judgements and decisions in the context of banking and financial markets.

3. Demonstrate the ability to make informed management and leadership judgements and decisions.

4. Critically analyse the importance of professional ethics and regulation in a contemporary context.

5. Critically evaluate the subject specific roles, features and relationships within and between firms.

6. Comprehend, evaluate, appreciate and assimilate the scope and constraints imposed by law and regulation.

Math	Enw	Disgrifiad	Pwysau
	Individual Assignment		40.00
	Examination		60.00

		Oriau

• Llythrennedd - Medrusrwydd mewn darllen ac ysgrifennu drwy amrywiaeth o gyfryngau
• 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
• Dadansoddi Beirniadol & Datrys Problem - Gallu dadelfennu a dadansoddi problemau neu sefyllfaoedd cymhleth. Gallu canfod atebion i broblemau drwy ddadansoddiadau ac archwilio posibiliadau
• Ymwybyddiaeth o ddiogelwch - Bod yn ymwybodol o'ch amgylchedd a hyder o ran cadw at reoliadau iechyd a diogelwch
• Gofalu - Dangos consyrn am eraill; gofalu am blant, pobl ag anableddau ac/neu'r henoed
• Rheloaeth - Gallu defnyddio, cydlynu a rheoli adnoddau (dynol, ffisegol ac/neu ariannol)
• 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.
• Arweinyddiaeth - Gallu arwain a rheoli, datblygu cynlluniau gweithredu ac amcanion, cynnig arweiniad a chyfarwyddyd i eraill, ac ymdopi â'r pwysau sy'n gysylltiedig ag awdurdod o'r fath

• An appreciation of the nature of the contexts in which finance can be seen as operating, including knowledge of the institutional framework necessary for understanding the role, operation and function of markets and financial institutions (e.g. the economic, legal, regulatory and tax environment, both national and international; the firm; the capital markets and the public sector).
• An understanding of the financing arrangements and governance structures of business entities, and an appreciation of how theory and evidence can be combined to assess the effectiveness and efficiency of such arrangements (e.g. decisions as to sources of finance and financial structure; the pricing of corporate securities; the market for corporate control; corporate governance structures and mechanisms; financial planning and international dimensions of finance).
• An understanding of financial service activity in the economy, and an appreciation of how finance theory and evidence can be employed to interpret these services (for example, information asymmetry, adverse selection and moral hazard could be employed to analyse the fundamental nature of services, such as insurance, pensions, bank lending and consumer credit, and also explore fundamental problems arising in such financial service provision. Efficient market hypothesis could be used to explore evidence for fund manager performance and the effectiveness of equity and bond saving services).
• Problem solving and critical analysis: analysing facts and circumstances to determine the cause of a problem and identifying and selecting appropriate solutions.
• Research: the ability to analyse and evaluate a range of business data, sources of information and appropriate methodologies, which includes the need for strong digital literacy, and to use that research for evidence-based decision-making.
• Articulating and effectively explaining information.
• Emotional intelligence and empathy.
• Conceptual and critical thinking, analysis, synthesis and evaluation.
• Self reflection: self-analysis and an awareness/sensitivity to diversity in terms of people and cultures. This includes a continuing appetite for development.

Rhestr ddarllen

Textbook (supplied to students) Title : Professionalism and Ethics
Author : Bob Souster Publisher : BPP Learning Media Ltd

A module reader supplied to students

Gorfodol mewn cyrsiau:

• N3BN: MBA Chartered Banker year 1 (MBA/CBDL)