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

Planned learning activities and teaching methods

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

Assessment methods and criteria

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

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

2023

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

Legal Framework and Ethics