FINA313-17B (HAM)

Capital Markets

20 Points

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Waikato Management School
Te Raupapa
Department of Finance

Staff

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Convenor(s)

Susanna Lu

Susanna Lu
4973
MSB.2.35
Thursday 3-4 pm
susanna.lu@waikato.ac.nz

Lecturer(s)

Administrator(s)

: maria.fitzgerald@waikato.ac.nz
: denise.martin@waikato.ac.nz

Placement Coordinator(s)

Tutor(s)

: ys259@students.waikato.ac.nz

Student Representative(s)

Lab Technician(s)

Librarian(s)

: jessica.howie@waikato.ac.nz
: helen.lynch@waikato.ac.nz
: 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 or 9 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.
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Paper Description

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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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This paper is taught through lectures and tutorials. Lecture and tutorial rooms are shown below. Lecture notes, announcements and other paper materials are provided through MyWeb.
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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:
    1. Explain the major functions performed by a developed financial system, their interrelationships and their official supervision;
    2. Understand how the flow of funds is arranged through primary markets and the operations of secondary markets;
    3. Analyse how authorised deposit institutions manage their funding, lending and risks;
    4. Identify and explain the contributions of the money market and the bond market to the financial system;
    5. Describe the main features of ordinary shares and shares markets;
    6. Do research on NZ capital market issues based on journal articles and/or financial news.
    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 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 1:1. 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 1:1 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
18 Aug 2017
5:00 PM
15
  • Online: MyWeb
2. Group Research Project
29 Sep 2017
5:00 PM
15
  • Online: MyWeb
3. Mid-term Test
14 Aug 2017
12:00 PM
20
  • In Class: In Lecture
4. Exam
50
✔
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: http://www.waikato.ac.nz/library/
  • Cengage: http://login.cengage.com
  • New Zealand Herald: http://www.nzherald.co.nz/
  • Reserve Bank of New Zealand Bulletin: http://www.rbnz.govt.nz/research_and_publications/reserve_bank_bulletin
  • International Monetary Fund: http://www.imf.org
  • Business Spectator: http://www.businessspectator.com.au
  • Bloomberg (Global): www.bloomberg.com
  • Morningstar: http://www.morningstar.com.au/
  • The Wall Street Journal (US): http://asia.wsj.com/home­page
  • The Financial Times (UK): http://www.ft.com/home/asia
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Online Support

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MyWeb is the official communication platform for this paper. All relevant materials and documents will be uploaded to MyWeb under Files. Announcements will be posted on MyWeb 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 MyWeb regularly, as ignorance of these is NOT a valid excuse.
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Workload

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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(s)

FINA201

Corequisite(s)

Equivalent(s)

Restriction(s)

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