Course details
Ethics and Regulation in the Investment Industry
ETHI 20225A
The course addresses the ethical and regulatory aspects of business conduct in capital markets, in general, and in the securities industry in particular.
The aim of the course is to:
- Understand the ethical issues in finance and comprehend the importance of sound practices in order to promote equity and efficiency in capital markets.
- Understand the importance of regulation in the securities industry and capital markets.
- Gain knowledge of the impact of the regulatory process and framework on the operations and professional conduct in capital markets and the securities industry.
- Develop competencies in recognizing legal and reputational risks associated with wrongful or illegal practices and find solutions to minimize their negative impact on the conduct of business in finance.
- Take into consideration the ethical conduct as an essential success factor in the investment industry.
- Develop knowledge of the regulatory process and of the future direction of regulation in capital markets.
- Prepare students to pass the Canadian Securities Institute (CSI) exams and the CFA exam section on ethics.
- Understand the ethical issues in finance and comprehend the importance of sound practices in order to promote equity and efficiency in capital markets.
- Understand the importance of regulation in the securities industry and capital markets.
- Gain knowledge of the impact of the regulatory process and framework on the operations and professional conduct in capital markets and the securities industry.
- Develop competencies in recognizing legal and reputational risks associated with wrongful or illegal practices and find solutions to minimize their negative impact on the conduct of business in finance.
- Take into consideration the ethical conduct as an essential success factor in the investment industry.
- Develop knowledge of the regulatory process and of the future direction of regulation in capital markets.
- Prepare students to pass the Canadian Securities Institute (CSI) exams and the CFA exam section on ethics.
Important notes
Course in French : ETHI 20225
Prerequisite(s) : FINA 10200(A) and ETHI 10403(A)
Course code
ETHI 20225A
Subject
Ethics and governance
Program
Bachelor’s degree (BBA)
Location
Côte-des-Neiges
Instruction mode
On-site learning
Credits
3