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Ethical standards and financial law

Fall semester 2015/2016

lecture for Master's Programme in Quantitative Finance
Wednesday, 13.15-14.50, room 201

Course given by: Beata Łopaciuk-Gonczaryk, bgonczaryk@wne.uw.edu.pl
Office hours in spring semester: Monday, 10:30-11:30 am, room 301


Re-take exam results

Re-take exam is scheduled for 3rd March 2016, 9.45 am-11.15 am, room C. If you are going to come for the re-take, please let me know it by e-mail till 29th February.

The exam results are already available: Points for participation in classes and exam results - updated 4 II 2016

It is possibe to look at your exam during the office hours on 3rd February 2016 (Wednesday), 10.00-12.00, room 217.

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

Course syllabus

Materials from the CFA Institute webpage ("CFAWEB")

Introduction - 7th, 14th and 21st October
Professionalism (CFAWEB, p: 13-58); case study- 21st and 28th October
Integrity of Capital Markets (CFAWEB, p: 59-80); case study - 4th November
Duties to Clients (CFAWEB, p: 81-124); case study; Markets in Financial Instruments Directive - 18th & 25th November
Duties to Employers (CFAWEB, p: 125-154); case study - 9th December
Investment Analysis, Recommendations and Actions: Diligence and Reasonable Basis (CFAWEB, p: 155-184); case study - 16th December
Conflicts of interest (CFAWEB, p: 185-206); case study - 13th January
CFA Institute Code of Ethics and Standards of Professional Conduct - summary (CFAWEB, p: 207-246) - 20th January
Regulations of Polish capital market - 27th January

Points for participation in classes and exam results - updated 4 II 2016

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Data ostatniej modyfikacji: 13.03.2016, 11:25