Week 4 - FINA 4370 701 Advanced Investment Management...

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FINA 4370 701 Advanced Investment Management, Ethics and Society Christopher K. Merker, CFA Adjunct Professor, Marquette University College of Business, Department of Finance AIM Program Week 4 – February 10, 2010 Christopher K. Merker ©2009
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Agenda Quiz Lecture – Ethics in Financial Markets, Professionalism and Capital Markets Integrity In class mini-case and discussion Assignment Christopher K. Merker ©2009
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Housekeeping First assignment feedback and grades Report #1 topics Deutsche Bank – Conflicts of Interest in Analysts Recommendations Macquarie – Market Manipulation Barclays – Improper Trading Practices (Strong Capital) Goldman Sachs – Conflicts of Interest in Analysts Recommendations (WorldCom) JP Morgan – Market Manipulation (Drexel Burnham Lambert) Updated syllabus – Change to March 31 class (Week 11) Christopher K. Merker ©2009
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Quiz Christopher K. Merker ©2009
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Module 2: Ethical Decision Making and Issues in Investment Management Topic 2: Ethics in Financial Markets, Professionalism and Capital Markets Integrity Christopher K. Merker, CFA Adjunct Professor, Marquette University College of Business, Department of Finance AIM Program Week 4 – February 10, 2010 Christopher K. Merker ©2009
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