Module Catalogues, Xi'an Jiaotong-Liverpool University   
Module Code: ACF445
Module Title: Ethical and Professional Standards in Finance
Module Level: Level 4
Module Credits: 2.50
Academic Year: 2019/20
Semester: SEM1
Originating Department: International Business School Suzhou
Pre-requisites: N/A
The module will examine the most important ethical issues faced by providers of capital as well as users of capital. It will draw heavily upon recent and current real-world events. It will expose students to research and real-life cases on ethical issues in financial markets. It provides students with practical frameworks for analyzing and acting in new ethically-sensitive situations. This is a required topic to maintain the CFA recognition/accreditation of the MSc Investment Management programme.
Learning outcomes 
A Critically analyze contemporary ethical issues in finance

B Integrate research and practice to analyse ethical issues in finance

C Discuss the ethical issues in providers of capital (e.g., investors and investment managers) and users of capital (corporations) and apply the theories to real cases
Method of teaching and learning 
Taught seminars will be delivered by faculty members and/or guest speakers. Online tutorials will be supported by asynchronous online discussions. Students will be directed towards selected scholarly articles, academic research, contemporary professional journals and press articles to deepen their understanding of current issues concerning the ethics of finance.

In terms of mode of delivery, we use Adobe Connect for synchronous sessions and ICE for asynchronous online discussions. This allows those not on campus, as well as faculty and speakers, to participate.

The module examines the most important ethical issues faced by providers of capital as well as users of capital. It draws heavily upon recent and current real-world events, and it is therefore inevitable that the precise content of the syllabus will change to reflect this. However, it is likely that the module will draw on a range of ethics-related topics such as:

• CFA Institute - Standards and Codes of Conduct;

• Corporate Governance;

• Agency theory;

• Ethical investing

• Fiduciary duty;
• Executive compensation;

• Insider trading;

• And also the fundamental issues around the definition and implementation of ethical practices.

Delivery Hours  
Lectures Seminars Tutorials Lab/Prcaticals Fieldwork / Placement Other(Private study) Total
Hours/Semester   6HOURS  12HRS      57  75 


Sequence Method % of Final Mark
1 Online Discussions 30.00
2 Written Report 70.00

Module Catalogue generated from SITS CUT-OFF: 6/6/2020 8:49:27 PM