《倫理與職業(yè)準(zhǔn)則》課程教學(xué)大綱

1、倫理與職業(yè)準(zhǔn)則(英)課程教學(xué)大綱一、Course InformationCourse：Ethical and Professional StandardsID：FIN913Credits：4Hours：3hours/per week，Total 45 hours。(from week3-week17)二、Instructors、Location（六）Regulation：1、Prohibit absence without excuse三、Reading materials（一）Recommendation：Standards of Practice Handbook, 11th Editio

2、n, available from the CFA Institute ( HYPERLINK /toc/ccb/2014/2014/4 /toc/ccb/2014/2014/4), 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

3、its applications. 2. Develop critical thinking 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

4、 that the government makes on financial institution.(二）Course ObjectsorderobjectsContentsExpected hours1Standard I: ProfessionalismKnowledge of the Law6Independence and ObjectivityMisrepresentationMisconduct2Standard II: Integrity of Capital MarketsMaterial Nonpublic Information6Market Manipulation3

5、Standard III: Duties to ClientsLoyalty, Prudence, and Care9Fair DealingSuitabilityPerformance PresentationPreservation of Confidentiality4Standard IV: Duties to EmployersLoyalty4Additional Compensation ArrangementsResponsibilities of Supervisors5Standard V: Investment Analysis, Recommendations, and

6、ActionsDiligence and Reasonable Basis5Communication with Clients and Prospective ClientsRecord Retention6Standard VI: Conflicts of InterestDisclosure of Conflicts6Priority of TransactionsReferral Fees7Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate1. Conduct as Participants

7、 in CFA Institute Programs6Reference 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 objective of this

8、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 concrete. At the end o

9、f 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 conducted in the cl

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

11、eCase 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 ClientsLectureCase studie

12、s;10Mid-term ExamLectureFirst ExamCase 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 MarketsLectureCase studies

13、;15Standard VII: Responsibilities as a CFA Institute Member or CFA CandidateLectureCase studies;16Standard VII: Responsibilities as a CFA Institute Member or CFA CandidatePresentation in classLectureCase studies;17Presentation in classLecture18-19Final Exam五、InspectionWayTypeInspection WayRequestGradingFirst