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Dydaktyka » ES2012

Ethical standards and financial law

Spring semester 2011/2012

lecture for Master's Programme in Quantitative Finance


Course given by: Beata Łopaciuk-Gonczaryk, bgonczaryk@wne.uw.edu.pl,

Attention: office hours in September 2012: 5th, 12th 12.00am-1.00pm and 19th 1.00pm-2.00pm, r. 401


The condition to obtain a credit is passing a writen exam composed of test questions (multiple-choice) and one open question, requiring one-page descriptive answer in a form of a short essay. The exam is based on the lecture. There is only one re-exam opportunity after the end of term, and this re-exam is of the same form as the regular end-term exam.


The exam is scheduled for 20th June (Wednesday), 1.00pm-2.30pm, room B, WNE UW.


Introduction - 13th February and 20th February

Materials from the CFA Institute webpage ("CFAWEB")

Professionalism. (CFAWEB, p: 1-48); case study - 27th February and 5th March

Integrity of Capital Markets. (CFAWEB, p: 49-68); case study - 12th and 19th March

Duties to Clients. (CFAWEB, p: 69-104) - 26th March

Duties to Employers. (CFAWEB, p: 105-126); case study - 2nd and 16th April

Investment Analysis, Recommendations and Actions. (CFAWEB, p: 127-148) - 16th and 23rd April

Duties to Clients - Extension. MiFID presentation outline and case study - 23rd April

Investment Analysis, Recommendations and Actions: Diligence and Reasonable Basis: case study - 7th May

Conflicts of interest (CFAWEB, p: 149-172); case study - 7th and 14th May

CFA Institute Code of Ethics and Standards of Professional Conduct – summary. (CFAWEB, p: 173-210) - 21st May

Regulations of Polish capital market - 28th May and 4th June

Ethical standards and financial law - revision - 12th June

Data ostatniej modyfikacji: 02.04.2005, 20:51