3604376: Ethics and Professional Standards

Beschreibung

• Ethical Demands in Investment Management.
• Professional Standards in Investment Management, e.g. in Connection with Non-Public Information, Obligations to Customers and Employers, Dealing with Conflict of Interest
• Ethical Aspects in Practice
• Global Investment Performance Standards (GIPS)

Lernergebnisse

• Integrating and justifying ethical demands in one's own dealings
• Discussing and scrutinising ethical aspects
• Being familiar with professional standards
• Realising obligations to customers and employers
• Illustrating and dealing with conflict of interest
• Developing a comprehensive perspective of the capital market
• Relating to the Global Investment Performance Standards

Literatur

Required reading:

• Standards of Practice Handbook, Tenth Edition (effective 1 July 2010) [http://www.cfapubs.org/toc/ccb/2010/2010/2]

• Boatright, J. R. (1999). Ethics in Finance. Blackwell Publishing Limited.

Arbeitsmaterial

Lecture slides will be available on Moodle