Professionalism, Regulation and Ethics


Professionalism, Regulation and Ethics                                     BFIP019

Semester

Autumn

Level

11

Credit value

20

Module Co-ordinator

TBA

Contact hours

32 lectures + 8 seminars

Assessment

40% for mid-semester assessment

60% examination (resit available)

Objectives

  • To provide an extensive, detailed and critical knowledge and understanding of ethics and professional behaviour
  • To offer an advanced understanding of effective corporate governance of financial services organisations
  • To offer an extensive, detailed and critical knowledge and understanding of the factors involved in making a professional judgment
  • To endow with the ability to apply knowledge and understanding of key ethical principles in their every day roles
  • To supply an extensive, detailed and critical knowledge and understanding of the legal and regulatory framework involved in professional decision making

 

Learning outcomes

Upon completion of the module, students will be able to:

  • analyse and evaluate the role in society of banks and other financial institutions
  • examine the history and development of the financial services organisation and evaluate its evolving role in society
  • critically analyse and evaluate the legal and regulatory framework that underpins professional decision-making in a banking environment
  • examine best practice for complaints handling through internal channels in a financial services organisation and examine the role of The Financial Ombudsman Service
  • compare and contrast a range of ethical theories and examine their impact in a banking environment
  • demonstrate a critical understanding of and apply the key principles of ethical and professional behaviour in a banking environment
  • critically review a range of ethical decision-taking models and apply these to situations in which there is an ethical dilemma or conflict of interest
  • differentiate between a range of cultural models and assess their potential impact on ethical and professional behaviour in a banking environment
  • critically review the principles of effective management, direction and control in the context of an organisation’s obligations to its stakeholders and the environment

 Indicative reading list

·         Chartered Banker Institute, 2010. Professionalism and Ethics: Study Book. BPP Learning Media.

·         Solomon Jill, 2010. Corporate Governance and Accountability. 3rd Edition. John Wiley & Sons

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