FINA313-18B (HAM)

Capital Markets

20 Points

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Waikato Management School
Te Raupapa
School of Accounting, Finance and Economics


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Paper Description

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The main focus of this paper is on the introduction of Capital Markets and Financial Institutions. This paper introduces students to the principal capital markets in Australasia, their associated institutions, markets, regulators and their financial functions.
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Paper Structure

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The teaching time will comprise lectures and Tutorials. The lectures will feature discussion primarily based on the financial system and its components. Lecture and tutorial rooms are shown below. Lecture notes, announcements and other paper materials are provided through Moodle.
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Learning Outcomes

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Students who successfully complete the course should be able to:

  • Students who successfully complete the course should be able to:
    • Explain the major functions performed by a developed financial system, their interrelationships and their official supervision;
    • Understand how the flow of funds is arranged through primary markets and the operations of secondary markets;
    • Analyse how authorised deposit institutions manage their funding, lending and risks;
    • Identify and explain the contributions of the money market and the bond market to the financial system;
    • Describe the main features of ordinary shares and shares markets;
    • Do research on NZ capital market issues based on journal articles and/or financial news.
    Linked to the following assessments:
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The assessment includes both individual and group components. To be eligible to pass this paper, students must achieve an overall grade of at least 50% in the whole paper.

Late submission of any assessments will not be accepted unless there are grounds for special consideration which normally means health or bereavement. Special considerations could be applied through the Department Administrator but there is no guarantee for approval
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Assessment Components

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The internal assessment/exam ratio (as stated in the University Calendar) is 50:50. There is no final exam. The final exam makes up 50% of the overall mark.

The internal assessment/exam ratio (as stated in the University Calendar) is 50:50 or 0:0, whichever is more favourable for the student. The final exam makes up either 50% or 0% of the overall mark.

Component DescriptionDue Date TimePercentage of overall markSubmission MethodCompulsory
1. Individual Assignment
17 Aug 2018
5:00 PM
2. Group Research Project
28 Sep 2018
5:00 PM
3. Mid-term Test
15 Aug 2018
9:00 AM
  • In Class: In Lecture
4. Exam
Assessment Total:     100    
Failing to complete a compulsory assessment component of a paper will result in an IC grade
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Required and Recommended Readings

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Required Readings

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Hunt, B. and C. Terry (2015). Financial Institutions and Markets, 7th edition, Cengage.
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Recommended Readings

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Sources of relevant information and data:

  • The Library:
  • Cengage:
  • New Zealand Herald:
  • Reserve Bank of New Zealand Bulletin:
  • International Monetary Fund:
  • Business Spectator:
  • Bloomberg (Global):
  • Morningstar:
  • The Wall Street Journal (US):­page
  • The Financial Times (UK):
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Other Resources

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Reference Style

Use the APA Referencing Style. The University of Waikato Library has put together a selection of resources to help you acknowledge your sources properly.

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Online Support

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Moodle is the official communication platform for this paper. All relevant materials and documents will be uploaded to Moodle under Files. Announcements will be posted on Moodle from time to time to inform you of important notices, updates and other development pertaining to this paper. It is your responsibility to check these Announcements and updates via Moodle regularly, as ignorance of these is NOT a valid excuse.
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The course has about 47 contact hours (36 hours for lectures and 11 hours for tutorials). The rest of the 200-hour expected workload in this 20-point paper is estimated to be distributed as follows. Group research project and individual assignment: 63 hours. Preparing for lectures, tutorials and final exam: ­90 hours.

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Linkages to Other Papers

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Prerequisite papers: FINA201




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