FINAN306-22B (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)

Peter Huang

Peter Huang
9407
MSB.3.29
See Moodle
peter.huang@waikato.ac.nz

Lecturer(s)

Administrator(s)

: denise.martin@waikato.ac.nz

Placement/WIL Coordinator(s)

Tutor(s)

Student Representative(s)

Lab Technician(s)

Librarian(s)

: yilan.chen@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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This paper focuses on the introduction to principal financial markets and their associated institutions, instruments, regulators, and financial functions. Topics to be discussed include interest rates, debt markets, stock markets, commercial banks, and so on.

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Paper Structure

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The teaching will comprise lectures and tutorials. Lecture notes, announcements, assessments, and other paper materials are available through Moodle. The paper has rich forms of assessments that give students the chance to work individually or cooperatively in both practical and scholarly ways.

Lectures will be delivered face-to-face in the classroom. A live version is available at the same time via Zoom. The recorded videos will be available on Moodle after the lectures. It is a Flexi paper so students can attend either the face-to-face lecture or the online one.

Tutorials for this paper start in the first week. Given that the lectures are scheduled on Mondays, it will be helpful if we have done the tutorial before the next lecture. More information will be available via Moodle.

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Learning Outcomes

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Students who successfully complete the paper should be able to:

  • 1. Describe the economic functions performed by financial markets and institutions. Understand why financial markets and institutions are important to efficient allocation of economic resources.
    Linked to the following assessments:
  • 2. Explain how interest rates are determined and their role in security valuation. Apply the theory of time value of money to debt and equity valuation.
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  • 3. Understand the main features and contributions of the money markets, bond markets and stock markets to the financial system. Identify and explain their similarities and differences.
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  • 4. Explain the characteristics and performance of different types of commercial banks. Analyse and describe how they manage their funding, lending and risks. Describe various types of regulations and regulators of commercial banks.
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  • 5. Interpret the characteristics of other lending institutions, insurance companies and investment banks. Understand their similarities and differences to other financial institutions.
    Linked to the following assessments:
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Assessment

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To be eligible to pass this paper, students must achieve an overall grade of at least 50% in the whole paper. There are four pieces of internal assessments. There is no final exam.

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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
22 Aug 2022
3:00 PM
25
  • Online: Submit through Moodle
2. Individual Assignment
19 Sep 2022
11:30 PM
25
  • Online: Submit through Moodle
3. Online Test 2
17 Oct 2022
3:00 PM
25
  • Online: Submit through Moodle
4. Group Research
1 Nov 2022
12:30 AM
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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Recommended Readings

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You can find the recommended readings in the reading list (as above).
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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 30 hours of lectures and tutorials. The rest of the expected workload in this 15-point paper is estimated to be distributed to the individual assignment, the group research project, preparing for lectures, tutorials and online tests.

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Linkages to Other Papers

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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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