年級:	3-4
學分:	3
時間:	45小時
先修單元:	Nil

This course introduces students to the “practices and codes of conduct” involved in the finance industry and explains the rationales behind such practices and codes. The course covers ethical issues and the roles of the research analyst, investment manager and other participants in the investment industry. In addition, students are presented to the codes of conduct, rules, regulations, and practices required of finance professionals by the CFA Institute.

Upon completion of this module, students should be able to:

1. explain why Ethics matters and recognise the principal conflicts of interests faced by the investment professionals working in the Financial Services industry;


2. identify the ethical behaviour amongst each type of participants such as clients, traders, employers, analysts, and other market participants in the investment community;


3. appreciate the laws, professional codes of conduct, and other guidelines that are expected of an investment professional;


4. discern the role that analysts play in making investment decisions and recommendations;


5. discuss the larger role in society as an investment professional in evaluating the business practices of firms and directing capital towards those that have practices that overall are beneficial to society.