《伦理与职业准则》课程教学大纲.docx

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1、伦理与职业准那么（英）课程教学大纲一、Course InformationCourse： Ethical and Professional StandardsID： FIN913Credits： 4Hours： 3hours/per week, Total 45 hourso （from week3-weekl7） 二、Instructors Location（六）Regulation：1、 Prohibit absence without excuse三、Reading materials（一）Recommendation：Standards of Practice Handbook, 11

2、th Edition, available from the CFA Institute （ :）, required.（二）Advanced reading materials : self-made material四、Course Description（一）Objects1. Acquire a systematic knowledge of the Code of Ethics and Standards of Professional Conduct （Code and Standards） and its applications.2. Develop critical thin

3、king skills and apply them to ethical dilemmas.3. Develop effective oral communication skills.4. Be familiar with the exam questions on the topic of Ethical and Professional Standards, CFA level I, level II exam.5. Understand the policies and the regulations that （he government makes on financial in

4、stitution.（二）Course ObjectsorderobjectsContentsExpected hours1Standard 1: Professionalism1. Knowledge of the Law62. Independence and Objectivity3. Misrepresentation4. Misconduct2Standard II: Integrity of Capital Markets1. Material Nonpublic Information62. Market Manipulation3Standard III: Duties to

5、Clients1. Loyalty, Prudence, and Care92. Fair Dealing3. Suitability4. Performance Presentation5. Preservation of Confidentiality4Standard IV: Duties to Employers1. Loyalty42. Additional Compensation Arrangements3. Responsibilities of Supervisors5Standard V: InvestmentAnalysis, Recommendatio ns, and

6、Actions1. Diligence and Reasonable Basis52. Communication with Clients and Prospective Clients3. Record Retention6StandardVI:ConflictsofInterest1. Disclosure of Conflicts62. Priority of Transactions3. Referral Fees7Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate1. Conduct a

7、s Participants in CFA Institute Programs62. Reference to CFA Institute, the CFA Designation, and the CFA ProgramTotal: 42 hours（三）The content of political educationThis course focuses on Ethical and Professional Standards. Ethical behavior is at the heart of what it means to be a professional. The o

8、bjective of this course is to make students aware of the importance of making ethical and socially responsible decisions. More specifically, in this class, we will explore the professional intersection of ethical theory and practice, where the concept of ethics crosses from the abstract to the concr

9、ete. At the end of the course, we hope that students could employ their knowledge in future service ability of the state and society, encourage students to comprehensively read more about the regulation and policy of the capital market in our country. In addition, a wealth of case studies will be co

10、nducted in the class, which help students to understand the regulation and characteristics if they become a financial expertise one day.（四）Course ScheduleWeekCourse ContentsTeaching methodHWSupplementary materials3Standard 1: ProfessionalismLectureCase studies;4Standard 1: ProfessionalismPresentatio

11、n in classLectureCase studies;5Standard VI: Conflicts of InterestLectureCase studies;6Standard VI: Conflicts of InterestPresentation in classLectureCase studies;7Standard III: Duties to Clients *LectureCase studies;8Standard III: Duties to ClientsLectureCase studies;9Standard III: Duties to ClientsL

12、ectureCase studies;10Mid-term ExamLectureFirstExamCase studies;11Standard IV: Duties to EmployersLectureCase studies;12Standard IV: Duties to EmployersLectureCase studies;13Standard V: Investment Analysis, Recommendations, and ActionsLectureCase studies;14Standard II: Integrity of Capital MarketsLec

13、tureCase studies;15Standard VII: Responsibilities as a CFA Institute Member or CFA CandidateLectureCase studies;16Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate Presentation in classLectureCase studies;17Presentation in classLecture18-19Final Exam五、Inspection WayTypeInspection WayRequestGradingFirst examCourses contentRequest to close book50Final ExamCourses contentRequest to close book30Attendance+ ReportAttendance + PresentationRequest to attend the class every week and have a presentation in class20