FINAN306-23B (TGA)

Capital Markets and Financial Institutions

15 Points

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The University of Waikato
Academic Divisions
Division of Management
School of Accounting, Finance and Economics

Staff

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Convenor(s)

Vijay Kumar

Vijay Kumar
See Moodle
vijay.kumar@waikato.ac.nz

Lecturer(s)

Administrator(s)

: uwt@waikato.ac.nz

Placement/WIL Coordinator(s)

Tutor(s)

Student Representative(s)

Lab Technician(s)

Librarian(s)

: em.pooley@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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What this paper is about

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This paper is centered around the topics of 'financial markets' and 'financial institutions'. The initial section of the paper delves into financial markets, encompassing money markets, bond markets, stock markets, and mortgage markets. Subsequently, the second part focuses on financial institutions. The objective is to provide students with a comprehensive understanding of the financial environment, covering the role of financial institutions, the risks and regulations they face, as well as the functions and roles of financial markets.

Active student engagement is expected during classes, emphasising the significance of group discussions, critical thinking, and reasoning to accomplish the paper's goals. Additionally, students are encouraged to stay informed about current developments in the financial markets.

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How this paper will be taught

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The paper includes lectures, tutorials, group work, and individual assignments.

Lectures will be conducted online via Zoom. PowerPoint slides and lecture recordings will be accessible on Moodle.

Tutorials will be held in person. Tutorial solutions will be provided on Moodle, but please note that tutorials will not be recorded.

The lecturer will visit the Tauranga Campus at least once a month for office hours. Students are strongly encouraged to meet with the lecturer to discuss any matters related to the paper. The dates and times for these office hours will be posted on Moodle.
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Required Readings

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You will need to have

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the following book:

Name: Financial Markets and Institutions

Authors: Saunders, Cornett and Erhemjamts

Edition: Eighth

Publisher: Mc Graw Hill

ISBN: 978-1-265-56143-7

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Learning Outcomes

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Students who successfully complete the course should be able to:

  • Describe the economic functions performed by financial markets and institutions. Understand why financial markets and institutions are important to efficient allocation of economic resources
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  • 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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  • 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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  • 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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  • Interpret the characteristics of other lending institutions, insurance companies, investment banks and Fintech companies. Understand their similarities and differences to other financial institutions
    Linked to the following assessments:
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Assessments

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How you will be assessed

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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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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
14 Aug 2023
1:00 PM
30
  • Online: Submit through Moodle
2. Group Project
18 Sep 2023
5:00 PM
25
  • Online: Submit through Moodle
3. Online Test 2
16 Oct 2023
1:00 PM
30
  • Online: Submit through Moodle
4. Individual Assignment
25 Oct 2023
5:00 PM
15
  • 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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