CORPFIN 3505 - Corporate Regulations and Ethics in Finance
North Terrace Campus - Semester 1 - 2024
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General Course Information
Course Details
Course Code CORPFIN 3505 Course Corporate Regulations and Ethics in Finance Coordinating Unit Finance and Banking Term Semester 1 Level Undergraduate Location/s North Terrace Campus Units 3 Contact Up to 3 hours per week Available for Study Abroad and Exchange Y Prerequisites CORPFIN 1002 or (CORPFIN 1002UACA and CORPFIN 1002UACB) Assessment Exam/assignments/ tests/tutorial work as prescribed at first lecture Course Staff
Course Coordinator: Graham Jones
Sigitas Karpavicius
Phone: 8313 8007
Email: Sigitas.Karpavicius@adelaide.edu.au
Campus: North Terrace
Building: Nexus 10 Tower
Room: 12.38Course Timetable
The full timetable of all activities for this course can be accessed from Course Planner.
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Learning Outcomes
Course Learning Outcomes
On successful completion of this course, students will be able to:
1. explain the rationale for corporate social responsibility and business regulation.
2. determine components of the Code of Ethics and Standards of Professional Conduct (code and standards).
3. identify behaviour that follows to the Code and Standards and behaviour that violates the Code and Standards.
4. recommend practices and procedures to prevent violations of the Code and Standards.University Graduate Attributes
This course will provide students with an opportunity to develop the Graduate Attribute(s) specified below:
University Graduate Attribute Course Learning Outcome(s) Attribute 1: Deep discipline knowledge and intellectual breadth
Graduates have comprehensive knowledge and understanding of their subject area, the ability to engage with different traditions of thought, and the ability to apply their knowledge in practice including in multi-disciplinary or multi-professional contexts.
1-4 Attribute 2: Creative and critical thinking, and problem solving
Graduates are effective problems-solvers, able to apply critical, creative and evidence-based thinking to conceive innovative responses to future challenges.
3, 4 Attribute 3: Teamwork and communication skills
Graduates convey ideas and information effectively to a range of audiences for a variety of purposes and contribute in a positive and collaborative manner to achieving common goals.
1, 4 Attribute 4: Professionalism and leadership readiness
Graduates engage in professional behaviour and have the potential to be entrepreneurial and take leadership roles in their chosen occupations or careers and communities.
4 Attribute 5: Intercultural and ethical competency
Graduates are responsible and effective global citizens whose personal values and practices are consistent with their roles as responsible members of society.
2-4 Attribute 7: Digital capabilities
Graduates are well prepared for living, learning and working in a digital society.
1, 4 Attribute 8: Self-awareness and emotional intelligence
Graduates are self-aware and reflective; they are flexible and resilient and have the capacity to accept and give constructive feedback; they act with integrity and take responsibility for their actions.
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Learning Resources
Required Resources
Required readings:
• CFA Institute Code of Ethics and Standards of Professional Conduct
• Various academic and practitioners’ articles available under course readings on MyUni. -
Learning & Teaching Activities
Learning & Teaching Modes
This course will be delivered via a 2-hour lecture session and a 1-hour problem-solving tutorial sessions. Lectures provide students with a primary understanding and tutorials help enhance skills to put prior learning into practice. It is important that students spend time solving questions provided prior to attending tutorials.Workload
The information below is provided as a guide to assist students in engaging appropriately with the course requirements.
The University expects full-time students (i.e. those taking 12 units per semester) to devote a total of 48 hours per week to their studies.
This means that you are expected to commit approximately 10 hours of private study outside of your regular classes. Students in this course are expected to attend all lectures throughout the semester plus one tutorial class each week.Learning Activities Summary
Lecture Schedule
week 1: Introduction to Ethics
week 2: Corporate Social Responsibility and Reporting
week 3: Business Regulation (Anti-competitive behaviour; & Cartels)
week 4: Business Regulation (Collective bargaining & boycotts; Exclusive dealing; & Misuse of market power)
week 5: CFA & Ethics including differences between Standards of Professional Conduct (Individual and Asset Manager)
week 6: CFA Standard I - Professionalism & Standard; & CFA Standard II - Integrity of Capital Markets
week 7: CFA Standard III - Duties to Clients & Standard; & CFA Standard IV - Duties to Employers
week 8: CFA Standard V - Investment Analysis, Recommendations & Actions & Standard; & CFA Standard VI - Conflicts of Interests
week 9: Ethics Case Studies I
week 10: Ethics Case Studies II
week 11: Financial Services & Other Ethical Standards in Finance
week 12: Course Summary -
Assessment
The University's policy on Assessment for Coursework Programs is based on the following four principles:
- Assessment must encourage and reinforce learning.
- Assessment must enable robust and fair judgements about student performance.
- Assessment practices must be fair and equitable to students and give them the opportunity to demonstrate what they have learned.
- Assessment must maintain academic standards.
Assessment Summary
The assessment components will be announced during the first lecture. At this stage, the proposed assessment is as follows:
Assessment
Due Date and Time
Type Weighting Related Learning Outcomes Test 1 Week 5 Individual 20% 1 Test 2 Week 10 Individual 20% 2, 3 Final Exam Examination Period Individual 60% 1-4
Assessment
Due Date and Time
Type
Weighting
Related Learing Outcomes
Test 1
Week 5
Individual
20%
1
Test 2
Week 10
Individual
20%
2, 3
Final Exam
Examination Period
Individual
60%
1-4
Assessment
Due Date and Time
Type
Weighting
Related Learning Outcomes
Test 1
Week 5
Individual
20%
1
Test 2
Week 10
Individual
20%
2, 3
Final Exam
Examination Period
Individual
60%
1-4
Assessment Detail
(1) Test 1 - 20%
Students will have an online test (worth 20%) in Week 5 of Semester. It covers lectures 1-4. Further details on the
examinable material for this test, will be announced at MyUni in Week 3.
(2) Test 2 - 20%
Students will have an online test (worth 20%) in Week 10 of Semester. It covers lectures 5-9. Further details on the examinable material for this test, will be announced at MyUni in Week 8.
(3) Final Exam - 60%
A final exam, worth 60%, will be held in the end-of-semester examination period. Further details on the examinable material, will be announced at MyUni closer to the date of the exam.Submission
Please take online tests through MyUni. Further details on assignment submission will be announced at the start of semester.
Return of Assignments and Feedback
Test outcomes will be returned to students within 2 weeks of the due date with feedback.
Late Assignment Submission
Students are required to take tests by the due date to maintain a fair and equitable system. A late submission without a legitimate reason will not be offered a mark.Course Grading
Grades for your performance in this course will be awarded in accordance with the following scheme:
M10 (Coursework Mark Scheme) Grade Mark Description FNS Fail No Submission F 1-49 Fail P 50-64 Pass C 65-74 Credit D 75-84 Distinction HD 85-100 High Distinction CN Continuing NFE No Formal Examination RP Result Pending Further details of the grades/results can be obtained from Examinations.
Grade Descriptors are available which provide a general guide to the standard of work that is expected at each grade level. More information at Assessment for Coursework Programs.
Final results for this course will be made available through Access Adelaide.
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Student Feedback
The University places a high priority on approaches to learning and teaching that enhance the student experience. Feedback is sought from students in a variety of ways including on-going engagement with staff, the use of online discussion boards and the use of Student Experience of Learning and Teaching (SELT) surveys as well as GOS surveys and Program reviews.
SELTs are an important source of information to inform individual teaching practice, decisions about teaching duties, and course and program curriculum design. They enable the University to assess how effectively its learning environments and teaching practices facilitate student engagement and learning outcomes. Under the current SELT Policy (http://www.adelaide.edu.au/policies/101/) course SELTs are mandated and must be conducted at the conclusion of each term/semester/trimester for every course offering. Feedback on issues raised through course SELT surveys is made available to enrolled students through various resources (e.g. MyUni). In addition aggregated course SELT data is available.
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Student Support
- Academic Integrity for Students
- Academic Support with Maths
- Academic Support with writing and study skills
- Careers Services
- International Student Support
- Library Services for Students
- LinkedIn Learning
- Student Life Counselling Support - Personal counselling for issues affecting study
- Students with a Disability - Alternative academic arrangements
- YouX Student Care - Advocacy, confidential counselling, welfare support and advice
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Policies & Guidelines
This section contains links to relevant assessment-related policies and guidelines - all university policies.
- Academic Credit Arrangements Policy
- Academic Integrity Policy
- Academic Progress by Coursework Students Policy
- Assessment for Coursework Programs Policy
- Copyright Compliance Policy
- Coursework Academic Programs Policy
- Elder Conservatorium of Music Noise Management Plan
- Intellectual Property Policy
- IT Acceptable Use and Security Policy
- Modified Arrangements for Coursework Assessment Policy
- Reasonable Adjustments to Learning, Teaching & Assessment for Students with a Disability Policy
- Student Experience of Learning and Teaching Policy
- Student Grievance Resolution Process
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Fraud Awareness
Students are reminded that in order to maintain the academic integrity of all programs and courses, the university has a zero-tolerance approach to students offering money or significant value goods or services to any staff member who is involved in their teaching or assessment. Students offering lecturers or tutors or professional staff anything more than a small token of appreciation is totally unacceptable, in any circumstances. Staff members are obliged to report all such incidents to their supervisor/manager, who will refer them for action under the university's student’s disciplinary procedures.
The University of Adelaide is committed to regular reviews of the courses and programs it offers to students. The University of Adelaide therefore reserves the right to discontinue or vary programs and courses without notice. Please read the important information contained in the disclaimer.
