Introduction to Securities and Investment
| Module title | Introduction to Securities and Investment |
|---|---|
| Module code | BEF1012DA |
| Academic year | 2023/4 |
| Credits | 30 |
| Module staff | Mr Thomas Sisk (Convenor) |
| Duration: Term | 1 | 2 | 3 |
|---|---|---|---|
| Duration: Weeks | 12 |
| Number students taking module (anticipated) | 100 |
|---|
Module description
This module is intended for Investment Operations Specialist Degree Apprenticeship students who would like a basic introduction to the financial services industry with a focus on investments. You will study some of the main asset classes like equities, FX, bonds, derivatives, investment funds and other financial products. The module also introduces you to topics like the economic environment, Markets, Financial Services Regulation, Taxation, and Investment wrappers.
Module aims - intentions of the module
This module aims to provide students with a broad understanding on the fundamentals of securities and investment under the current economic environment within the Financial Services industry. This module also aims to introduce students to the importance of the wider economy, the importance of regulations, taxation, and reviews other financial products such as loans, life assurance and mortgages.
This module shows how understanding of the disadvantages and advantages and risks associated with financial assets can be provided to support an organisation’s management in investment decision-making and control. Students will learn how investment instruments or products are typically used within the industry and how they may meet specified client objectives. The overall aim is to introduce securities and investment from a wider user perspective.
Intended Learning Outcomes (ILOs)
ILO: Module-specific skills
On successfully completing the module you will be able to...
- 1. Discuss the financial services sector, its role and its participants, framed in a wider economic environment
- 2. Evaluate the advantages, disadvantages and risk associated with each type of securities and investment
- 3. Describe how an investment instrument or product is typically used within the industry and how it may meet specified client objectives through financial advice
- 4. Gain insights in the role and functions of financial markets and central banks
- 5. Understand the importance and function of regulation in the investment industry
- 6. Explain the importance and function of regulation in the investment industry
- 7. Describe the characteristics and benefits of other financial products like loans, mortgages and insurance products
- 8. Explain the principles of taxation, use of trusts and investment wrappers
ILO: Discipline-specific skills
On successfully completing the module you will be able to...
- 9. Evidence a sound understanding of the financial services sector, the economic environment and main investment products
- 10. Use financial concepts and conventions to apply investment principles in practical situations
- 11. Evidence a broad knowledge of specific markets, supporting operational protocols and financial regulation
ILO: Personal and key skills
On successfully completing the module you will be able to...
- 12. Deliver 9high quality written and verbal communication skills
- 13. Apply knowledge of relevant rules and principles to their own role and within their team and/or firm
- 14. Demonstrate a sound understanding of the role of the function in which they work and how this role relates to other functions to the wider business
Syllabus plan
- Introduction to the Financial Services Sector
- The economic environment
- Financial assets and markets
- Characteristics, benefits and risks of investing in equities
- Characteristics, benefits and risks of investing in bonds
- Uses, applications, benefits and risks of investing in Derivatives
- Characteristics, benefits and risks of Investment Funds
- Financial Services Regulation and Professional Integrity
- Taxation, Investment Wrappers and Trusts
- Other financial Products like loans, mortgages and protection products
- The financial advice process and legal concepts
Learning activities and teaching methods (given in hours of study time)
| Scheduled Learning and Teaching Activities | Guided independent study | Placement / study abroad |
|---|---|---|
| 70 | 230 | 0 |
Details of learning activities and teaching methods
| Category | Hours of study time | Description |
|---|---|---|
| Scheduled Learning & Teaching Activities | 14 hours (2 days) | Masterclass/workshops |
| Scheduled Learning & Teaching Activities | 40 hours | Online lectures / webinars and ELE activities |
| Scheduled Learning & Teaching Activities | 16 hours | Revision on CISIs Revision Express |
| Guided independent study & work-based application of theory | 230 hours | Reading, research, web-based activities, assignment / exam preparation and work -based application of theory |
Formative assessment
| Form of assessment | Size of the assessment (eg length / duration) | ILOs assessed | Feedback method |
|---|---|---|---|
| Mock exam | 1-hour 50 MCQs | 1-9 | Marks and written generic group feedback |
| Online discussion | Online discussion contributions | 1-14 | Online discussion feedback from peers and lecturer |
| Regular online quizzes | Relevant quizzes, each taking about 20 minutes | 1-14 | Correct answers on ELE |
Summative assessment (% of credit)
| Coursework | Written exams | Practical exams |
|---|---|---|
| 50 | 50 | 0 |
Details of summative assessment
| Form of assessment | % of credit | Size of the assessment (eg length / duration) | ILOs assessed | Feedback method |
|---|---|---|---|---|
| Exam | 50 | 1 hour 50 MCQs | 1-9 | Written generic group feedback |
| Applied Exercise/ Assignment (Essay, report, or other agreed material or artefact) | 50 | 3,000 words or equivalent total | 1-14 | Individual written |
| 0 | ||||
| 0 | ||||
| 0 | ||||
| 0 |
Details of re-assessment (where required by referral or deferral)
| Original form of assessment | Form of re-assessment | ILOs re-assessed | Timescale for re-assessment |
|---|---|---|---|
| Exam | 50% 1-hour 50 MCQs | 1-9 | 6 months |
| Applied Exercise/ Assignment (Essay, report, or other agreed material or artefact) | 50% 3,000 words or equivalent total | 1-13 | 6 months |
Re-assessment notes
Defer – as first time
Refer – capped at 40%
Indicative learning resources - Basic reading
- Introduction to Securities and Investment, CISI Workbook Edition (most recent edition), the Chartered Institute for Securities and Investment.
- Revision Express, CISI online, the Chartered Institute for Securities and Investment
Indicative learning resources - Web based and electronic resources
MarketWatch, Revision Express (CISI), online materials on ELE
| Credit value | 30 |
|---|---|
| Module ECTS | 15 |
| Module pre-requisites | None |
| Module co-requisites | None |
| NQF level (module) | 4 |
| Available as distance learning? | Yes |
| Origin date | 15/06/2022 |
| Last revision date | 15/06/2022 |
