Ethical standards and financial law
Spring semester 2012/2013
lecture for Master's Programme in Quantitative Finance
Monday, 11.30-13.05, room 203
Course given by: Beata Łopaciuk-Gonczaryk, firstname.lastname@example.org
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 19th June (Wednesday), 9.00-11.00 am, room B, WNE UW.
The re-take exam is scheduled for 11th September, 11.00 am-1.00pm, room B, WNE UW.
Re-take exam results (also avaiable in USOS)
My office hours in Fall 2013/2014 are scheduled for Wednesdays, 10.30-11.30 am, room 401.
Materials from the CFA Institute webpage ("CFAWEB")
Introduction - 18th February and 25th February
Professionalism. (CFAWEB, p: 1-48); case study - 4th and 11th March
Integrity of Capital Markets. (CFAWEB, p: 49-68); case study - 18th March
Duties to Clients. (CFAWEB, p: 69-104) - 25th March
Duties to Clients - Extension. 1. Global Investment Performance Standards 2. MiFID presentation outline and case study - 8th April
Duties to Employers. (CFAWEB, p: 105-126); case study - 15th April
Investment Analysis, Recommendations and Actions: Diligence and Reasonable Basis: case study - 22nd April
Conflicts of interest (CFAWEB, p: 149-172); case study - 29th April and 6th May
CFA Institute Code of Ethics and Standards of Professional Conduct – summary. (CFAWEB, p: 173-210) - 13th May
Regulations of Polish capital market - 20th and 27th May
Ethical standards and financial law - revision - 6th June