Ethical standards and financial law
Fall semester 2014/2015
lecture for Master's Programme in Quantitative Finance
Wednesday, 11.30-13.00, aula C
Course given by: Beata Łopaciuk-Gonczaryk, firstname.lastname@example.org
Office hours during spring semester: Mondays, 10.30am-11.30 am, room 217.
Attention! Office hours from 8th June are going to take place on 9th June (Tuesday) 11.00-12.00, room 217. I am sorry for any inconvenience caused. I encourage you to send an e-mail if you wish to make any other arrangements.
Re-take exam results and grades
RE-TAKE exam is scheduled for 5th of March 2015 (Thursday), 11.30 am, room 203, WNE UW.
Exam results and grades
Classes from the 21st January are rescheduled for 16th January (Friday), 12.30am -2.00pm room C. Office hours from 21st January are rescheduled for 16th January (Friday), 10.00am-11.00am. I am sorry for any inconvenience caused.
Exam is scheduled for 5th of February 2015, 10.00 am, room 203, WNE UW.
The condition to obtain a credit is passing a writen exam composed of test questions (multiple-choice) and one open question, requiring a 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.
max 80 points - exam
max 20 points - class participation and presentations
|0 - 49 points ||2|
|50 - 57 points ||3|
|58 - 65 points ||3+|
|66 - 72 points ||4|
|73 - 79 points ||4+|
|80 - 100 points ||5|
Materials from the CFA Institute webpage ("CFAWEB")
Introduction - 15th and 22nd October
Professionalism. (CFAWEB, p: 13-58); case study - 29th October and 5th November
Integrity of Capital Markets. (CFAWEB, p: 59-80); case study - 12th November
Duties to Clients. (CFAWEB, p: 81-124) - 19th November
Duties to Clients - Extension. Guest speaker. MiFID presentation outline and case study - 26th November
Duties to Employers. (CFAWEB, p: 125-154); case study - 3rd December
Investment Analysis, Recommendations and Actions: Diligence and Reasonable Basis. (CFAWEB, p: 155-184); case study- 10th December
Conflicts of interest (CFAWEB, p: 185-206); case study - 17th December
CFA Institute Code of Ethics and Standards of Professional Conduct - summary. (CFAWEB, p: 207-246) - 7th January
Regulations of Polish capital market - 14th January
Ethical standards and financial law - revision - 16th January (Friday, 12.30am-2.00pm, room C)
Points for participation in classes - 18 I 2015