FIN3001H Investment and Portfolio Management

Academic Year 2019/2020

Investment and Portfolio Management provides an introduction to the investment markets and the analysis of securities. The course provides a mixture of both theory and practise. The main investment asset classes, namely stocks, bonds and derivatives, are examined and the analysis and management of portfolios of these assets is considered. The investment process and the return and risk of the different asset classes are covered in the introduction. Then risk and return are examined in more detail focusing on their application to portfolio theory. Asset allocation is examined in the context of what we have learned up this point. Asset pricing models are then covered in detail. Other issues include portfolio performance evaluation and market efficiency. The fixed income and derivatives markets are the next asset classes to be covered. Pricing issues and risk measurement and management techniques are covered. In the case of derivatives securities, the types of securities, such as options, forwards and futures are covered in detail. The use of these securities by investors is dependant on the objectives of the investor and the situations the investor faces.

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Curricular information is subject to change

Learning Outcomes:

A critical understanding of the risk and return trade-off in the different asset classes.
Analytical knowledge of the role of diversification in modern portfolio theory.
Ability to set up diversified portfolios that minimise return given a certain return level using spreadsheets.
Determine the value and risks of derivatives, and the ability to use derivatives for risk management purposes.

Student Effort Type Hours


Specified Learning Activities


Autonomous Student Learning




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
Examination: Examination 2 hour End of Trimester Exam No Graded No


Assignment: Main Assignment Varies over the Trimester n/a Graded No


Carry forward of passed components
Resit In Terminal Exam
Spring Yes - 2 Hour
Feedback Strategy/Strategies

• Group/class feedback, post-assessment

How will my Feedback be Delivered?

General feedback is provided to students on all their submitted assessment components.

Name Role
Ms Christina Burke Lecturer / Co-Lecturer
Koey Kwong Tutor
Ms Eva Lock Tutor
Yung Chiang Yang Tutor

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