Legal Framework and Ethics

fiscal treatment of financial instruments and investments; laws on trusts; legal framework for private equity and venture capital; MiFID (Markets in Financial Instruments Directive), GIPS (Global Investment Performance Standards); laws on investment funds; acting in an ethical manner when dealing with the public, clients, prospects, employers and colleagues; standards of the AIMR to ensure objectivity: Fundamental Responsibilities, Relationship with and Responsibilities to the profession, employer, clients and prospects, Performance Presentation Standards

Art der Vermittlung

Präsenzveranstaltung

Art der Veranstaltung

Pflichtfach

Empfohlene Fachliteratur

MiFID: Markets in Financial Instruments Directive (2004/39/EC); MiFID II: Markets in Financial Instruments Directive (2014/65/EU); Global investment performance standards (GIPS)

Lern- und Lehrmethode

Interactive teaching (lecture and discussion), case study on investment products

Prüfungsmethode

The course assessment is based on a group project (30 points) and a final exam (70 points).

Voraussetzungen laut Lehrplan

Courses of the 2nd semester

Schnellinfos

Studiengang

Quantitative Asset and Risk Management (Master)

Akademischer Grad

Master

ECTS Credits

3.00

Unterrichtssprache

Englisch

Studienplan

Berufsbegleitend

Studienjahr, in dem die Lerneinheit angeboten wird

2023

Semester in dem die Lehrveranstaltung angeboten wird

3 WS

Incoming

Lernergebnisse der Lehrveranstaltung

After the successful completion of the course, students are able to outline the relevant regulatory and ethical principles within the scope of asset management and their implications. Moreover, students can discuss fiscal regulations and extrapolate implications for private and institutional investors.

Kennzahl der Lehrveranstaltung

0613-09-01-BB-EN-30