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Module Title: Professional Ethics and Regulation

Module Director: Mr Bob Souster

Available Routes:

Core Module - All Programme Streams

Module Overview

This module examines the ethical framework surrounding today’s professional bankers and the implications for the organisation’s aims and objectives. It also explores issues of corporate governance and responsibility and the management and administration of companies. It examines in detail ethical concepts and behaviour, ethical decision making and resolving ethical dilemmas, with a clear focus on the code of conduct required by the Chartered Institute of Bankers. The module will give students an understanding of the internal control systems needed to manage risk and the social and environmental responsibilities facing companies.

Module Aims & Objectives:

On completing this module students will:

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

Key Text:

Corporate Governance and Accountability by Jill Soloman

Means of Assessment:

This module is assessed by means of an individual assignment (40%) and examination (60%)

Module Detail

Unit One – Ethics and the Professional Banker

The aims of this section are to provide financial services professionals with extensive, detailed and critical knowledge. It covers the cognitive skills of critical thinking, analysis and synthesis, required to make informed ethical and professional judgments in their working life.

Unit Two – Organisations & Corporate Governance

The aims of this section are to explain how the objectives of organisations are set in the context of the different individuals and groups who influence its strategic direction and the theoretical models that have been used to analyse these influences.

Unit Three – Regulation, Risk and Social and Environmental Responsibilities

The aims of this section are to explain the regulatory system in the UK, to describe the types of company director and their roles, to explain the role of a company’s standing committees and to set out the role of shareholders.

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