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Decks in this class (18)
Session 2
Name the 7 core principles of fin...,
Give a definition of integrity 2,
There are 2 factors when talking ...
35
cards
Session 3 - Windsor - Shareholders wealth maximisation
Define shareholders wealth maximi...,
What is a public corporation 2,
At law officers and directors hav...
14
cards
Session 3 - Brooks - Earnings management
Give a definition of earnings man...,
What is the purpose of earnings m...,
What are the 5 advantages of an o...
14
cards
Session 3 - Williams & Ryan - Investor relations
Give a definition of the investor...,
Name the characteristics of infor...,
Marcoux 2003 explains that becaus...
14
cards
Session 3 - Young - Risk management
The subject of ethics has long be...,
Explain modern risk management at...,
Enterprise risk management the em...
13
cards
Session 3 - McCall - Executive compensation
Outrage a commonly reaction to ex...,
Name the 9 elements of the comple...,
Historical facts name the primary...
9
cards
Session 3 - Dalton & Dalton - Boards of directors
Give an example on sox 2002 requi...,
What issue can arise in the leade...,
Give a definition of unity of com...
10
cards
Session 1 - Kolb - Ethical implications of finance
Give the key assumptions in finan...,
What is the constrained optimisat...,
Give the 9 important concepts in ...
7
cards
Session 1 - Walter - Reputational risk
Give a definition of reputation 1,
When does reputational capital ga...,
Give the 4 symptoms of loss of re...
9
cards
Session 1 - Norman - Financial theory of the firm
Give a definition of a corporation 1,
Explain the agency problem in the...,
Give the 5 essential features of ...
11
cards
Session 1 - Heath - Fairness in financial markets
Give a definition about fairness 1,
Give a definition about markets 2,
Explain procedural fairness 3
17
cards
Session 1 - Engelen c.s. - Insider trading
Name the 3 different points of vi...,
Explain the economic point of view 2,
Explain the legal point of view 3
22
cards
CFA Standards of practice - Professionalism
Name the 4 elements presented in ...,
Explain how cfa members and candi...,
Give the 7 ways to compliance reg...
11
cards
CFA Standards of practice - Integrity of capital markets
Explain how cfa members and candi...,
What is material from material no...,
Give the 12 ways a mac should com...
7
cards
CFA Standards of practice - Duties to clients
Explain how cfa members and candi...,
Give the 7 guidances about loyalt...,
Give the 3 elements of developing...
20
cards
CFA Standards of practice - Duties to employers
Explain how cfa members and candi...,
8 specificities arise regarding l...,
Give some details about employer ...
11
cards
CFA Standards of practice - Investment analysis, recommendations and actions
Explain how cfa members and candi...,
Define diligence and reasonable b...,
Give the 4 guidance mac should fo...
8
cards
CFA Standards of practice - Conflicts of interests
Explain how cfa members and candi...,
Avoiding potential conflicts noth...,
Give 6 guidances for disclosure o...
8
cards
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Financial ethics
- Class purpose General learning
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