FINAN306-20B (HAM)

Capital Markets and Financial Institutions

15 Points

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Division of Management
School of Accounting, Finance and Economics

Staff

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Convenor(s)

Lecturer(s)

Administrator(s)

: denise.martin@waikato.ac.nz

Placement/WIL Coordinator(s)

Tutor(s)

Student Representative(s)

Lab Technician(s)

Librarian(s)

: clive.wilkinson@waikato.ac.nz

You can contact staff by:

  • Calling +64 7 838 4466 select option 1, then enter the extension.
  • Extensions starting with 4, 5, 9 or 3 can also be direct dialled:
    • For extensions starting with 4: dial +64 7 838 extension.
    • For extensions starting with 5: dial +64 7 858 extension.
    • For extensions starting with 9: dial +64 7 837 extension.
    • For extensions starting with 3: dial +64 7 2620 + the last 3 digits of the extension e.g. 3123 = +64 7 262 0123.
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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, their associated institutions, markets, regulators and their financial functions.

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Paper Structure

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The teaching time will comprise online lectures and face-to-face tutorials. The lectures will feature discussion primarily based on the financial system and its components. Lecture notes, announcements and other paper materials are provided through Moodle. The paper has rich forms of assessments, which gives students the chance to work individually or cooperatively in an practical and innovative way.

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Learning Outcomes

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Students who successfully complete the paper should be able to:

  • 1. Understand the economic functions performed by financial markets and institutions;
    Linked to the following assessments:
  • 2. Understand the determinants of interest rates;
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  • 3. Identify and explain the contributions of the money market and the bond market to the financial system;
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  • 4. Describe the main features of ordinary stocks and stock markets;
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  • 5. Analyse how commercial manage their funding, lending and risks;
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  • 6. Describes the characteristics of other lending institutions, insurance companies and investment banks.
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  • 7. Do research on NZ financial market issues based on journal articles and/or news media.
    Linked to the following assessments:
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Assessment

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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 in a timely manner 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 100:0. There is no final exam. The final exam makes up 0% of the overall mark.

The internal assessment/exam ratio (as stated in the University Calendar) is 100:0 or 0:0, whichever is more favourable for the student. The final exam makes up either 0% or 0% of the overall mark.

Component DescriptionDue Date TimePercentage of overall markSubmission MethodCompulsory
1. Online Test 1
19 Aug 2020
11:30 PM
25
  • Online: Submit through Moodle
2. Individual Assignment
23 Sep 2020
11:30 PM
25
  • Online: Submit through Moodle
3. Online Test 2
14 Oct 2020
11:30 PM
25
  • Online: Submit through Moodle
4. Group Research
28 Oct 2020
11:30 PM
25
  • Online: Submit through Moodle
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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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. http://www.waikato.ac.nz/library/study/referencing

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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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Workload

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The course has about 35 hours for lectures and tutorials. The rest of the expected workload in this 15-point paper is estimated to be distributed to individual assignment, group research project, and preparing for lectures, tutorials, online quiz and final test.

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Linkages to Other Papers

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FINA201

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Prerequisite(s)

Prerequisite papers: FINAN101 or FINA201

Corequisite(s)

Equivalent(s)

Restriction(s)

Restricted papers: FINA313 and FINAN203

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