FIN41850 Ethics in Financial Services

Academic Year 2019/2020

This module will assist students to understand the financial, societal and moral consequences of a lack of ethics in various aspects of financial services focusing in particular on the Code of Ethics and Standards of Professional Conduct as issued by the CFA Institute. It will help students to analyse financial transactions in aa ethical manner and to understand what lies behind the information and the counterparty. The module will cover the key aspects of ethics in financial markets such as corporate legal responsibility, corporate governance, corporate social responsibility, independence, integrity, duties to clients, duties to employers, due diligence, record keeping, disclosure and conflicts of interest. Students will be equipped to use this information to enhance business performance and especially reduce business risks both for themself and their employer.

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Curricular information is subject to change

Learning Outcomes:

On successful completion of this module students will:
• Be able to analyse the ethical context of decision making
• Appreciate legal responsibilities of corporations and understand that legal lines can be time varying
• Understand the concepts of corporate governance and corporate social responsibility
• Understand the linkages between your decision making and detrimental effects that may occur to other participants in financial markets or members of society
• Appreciate the crucial aspect of financial independence in information provision
• Understand the concept of integrity and the duties one has to clients and employers
• Understand the difference between reporting and disclosure
• Appreciate the challenges posed by potential conflicts of interest and the need to fully disclose these

Student Effort Hours: 
Student Effort Type Hours




Approaches to Teaching and Learning:
Not yet recorded 
Requirements, Exclusions and Recommendations

Not applicable to this module.

Module Requisites and Incompatibles
Not applicable to this module.  
Assessment Strategy  
Description Timing Open Book Exam Component Scale Must Pass Component % of Final Grade
Presentation: Final Presentation Unspecified n/a Graded No


Continuous Assessment: Continuous Assessment Unspecified n/a Graded No


Carry forward of passed components
Not yet recorded

Not yet recorded

Please see Student Jargon Buster for more information about remediation types and timing. 
Not yet recorded
Timetabling information is displayed only for guidance purposes, relates to the current Academic Year only and is subject to change.  

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