4fc3

Commerce 4FC3

Ethics and Professional Practice in Finance

Fall 2016 Course Outline

Finance and Business Economics

DeGroote School of Business

McMaster University

Course Objective

This course introduces students to the practices and codes of conduct involved in the finance function. The course covers ethical issues and the roles of the corporate financial manager, other stakeholders and other participants in the investment industry. The emphasis of the course will be on readings, rules, and regulations from the CFA Institute. Cases and speakers will be employed to bring a real world perspective to the classroom.

This course introduces students to the conflicts of interest faced by finance professionals. In addition, students are introduced to the codes of conduct, rules, regulations, and practices required of finance professionals by the CFA Institute. In particular, we look at the rationales for these rules. We also look at the role of ethics in personal financial planning.

This course is valuable to anyone who plans to manage their own finances. This course is also valuable to any student who intends to pursue a career as a Finance professional. Potential careers that come under this heading include: Compliance Officer, Financial advisor, corporate financial manager, director or other officer, money or investment manager, banking or investment banking professional, lawyer specializing in the fiduciary relationship, and/or public sector finance manager, to name a few.

Instructor and Contact Information

Section 1: Thurs 8:30 am – 11:20 am

Class Location: KTH/104

Sumit Bose, MBA CFP FMA CIWM FCSI

Instructor

sbose@mcmaster.ca

Office: DSB/313

Office Hours: before class and by appointment

Tel: (905) 525-9140, Ext. 26194

(as office is shared by number of instructors, please do not leave messages)

Course Elements

Credit Value: | 3 | Leadership: | Yes | IT skills: | Yes | Global view: | Yes |...