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

Mode of delivery

face to face

Type

compulsory

Recommended or required reading and other learning resources/tools

Relevant directives and standards (MiFID, GIPS, PPS)

Planned learning activities and teaching methods

Integrated class

Assessment methods and criteria

The evaluation for this course relies on continuous assessment (30 points) and a written final exam (70 points). For the continuous assessment (e.g. assignments, presentations, in-class contributions, quizzes) the syllabus of each lecturer outlines the rules.

Prerequisites and co-requisites

Courses of the 2nd semester

Infos

Degree programme

Quantitative Asset and Risk Management (Master)

Cycle

Master

ECTS Credits

3.00

Language of instruction

English

Curriculum

Part-Time

Academic year

2021

Semester

3 WS

Incoming

Yes

Learning outcome

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.

Course code

0613-09-01-BB-EN-30