FINA517-18A (HAM)

Investments, Portfolios and Financial Markets

15 Points

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Waikato Management School
Te Raupapa
School of Accounting, Finance and Economics

Staff

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Convenor(s)

Peter Huang

Peter Huang
9407
Monday 8:50-9:50am
peter.huang@waikato.ac.nz

Lecturer(s)

Administrator(s)

: maxine.hayward@waikato.ac.nz

Placement 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 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 fundamental concepts related to portfolio decisions of individual and institutional investors. Based on the concept of risk-return trade-off, it discusses the techniques and implications of efficient portfolio diversification and the allocation of assets among different securities.
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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 Moodle.
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Learning Outcomes

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Students who successfully complete the course should be able to:

  • 1. Explain how financial assets are categorized and identify types of financial instruments.
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  • 2. Explain how financial securities are traded and define some market terminology.
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  • 3. Compute returns and measures of risk.
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  • 4. Explain the concept of diversification, efficient portfolios, and the mechanisms of valuation models.
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  • 5. Determine undervalued and overvalued securities.
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  • 6. Evaluate performance of investment portfolios.
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  • 7. Differentiate active versus passive portfolio management techniques.
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  • 8. Derive CAPM model based on portfolio theory.
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  • 9. Describe the process of portfolio management in practice.
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Assessment

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The assessment includes an online test, two assignments and a project. 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 50:50. 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 50:50 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. Test
9 Mar 2018
12:00 AM
5
2. Assignment 1
23 Mar 2018
5:00 PM
15
  • Online: Submit through Moodle
3. Assignment 2
27 Apr 2018
5:00 PM
15
  • Online: Submit through Moodle
4. Project
25 May 2018
5:00 PM
15
  • Online: Submit through Moodle
5. Exam
50
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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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Bodie, Kane, and Marcus, Investments, 10th ed., McGraw-Hill, 2014

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Recommended Readings

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Timothy R. Mayes and Todd M. Shanks, Financial Analysis with Microsoft Excel, 5th ed., Cengage, 2010. This book is helpful if you need help with Microsoft Excel. It is very basic and also illustrates finance concepts as you learn Excel. Other instructors have recommended similiar books and you are welcome to use those books instead.

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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. Announcements will be posted 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 regularly.
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Workload

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The course has 35 contact hours (24 hours for lectures and 11 hours for tutorials). The rest of the 200 hours expected workload in this 20-point paper is estimated to be distributed as follows. Assignments and project: 65 hours. Preparing for lectures, tutorials and final exam: ­100 hours.


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Linkages to Other Papers

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Note any linkages to other papers where the linkage is of importance.
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Prerequisite(s)

Prerequisite papers: ECON204 and FINA201 or equivalent

Corequisite(s)

Equivalent(s)

Restriction(s)

Restricted papers: FINA312

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