NATIONAL ECONOMICS UNIVERSITY
BACHELOR OF FINANCIAL INVESTMENT
SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
COURSE SYLLABUS
1. GENERAL INFORMATION
- Course
Securities Market 2
- Course number
- Number of Units
3
+ Theorical units
30
+ Practical units
15
+ Self-study units
90 (1 teaching unit = 3 self-studying units)
- Prerequisite
None
2. DEPARTMENT AND LECTURER INFORMATION
Managed Department: Securities Market Department
Adress: 9th Floor, Building A1, National Economics University, 207 Giai Phong
Lecturer information:
Full name
Email
1
Nguyễn Thị Minh Huệ
huenm@neu.edu.vn
2
Lê Thị Hương Lan
lanlh@neu.edu.vn
3
Trần Đăng Khâm
khamtd@neu.edu.vn
4
Vũ Thị Thúy Vân
thuyvan@neu.edu.vn
5
Lê Hoàng Anh
anhlh@neu.edu.vn
6
Nguyễn Ngọc Trâm
tramnn@neu.edu.vn
1
3. COURSE DESCRIPTIONS
Securities Market 2 is a compulsory module. This module provides specialization
knowledge for students of Bachelor of Banking and Finance Program who major in Financial
Investment.
Securities Market 2 consists of four chapters with the advanced knowledge of securities
and securities markets. The course covers issues such as: Monitoring and supervision by
government agencies and self-regulatory organizations (SROs) of securities markets;
organization and operation of securities companies and securities investment funds;
supporting activities before, during, and after securities trading such as the securities
depository, registration, clearing, and settlement processes. During this course, students will
tackle exercises and analyze case studies that are mentioned at the end of each chapter.
Students will learn how to apply theoretical knowledge to solve practical problems in the
securities market of Vietnam.
After finishing the course, students will be able to:
-
Understand how government agencies and SROs supervise and monitor securities
markets;
-
Understand how securities trading is monitored and supervised;
-
Understand the organization and operation of securities companies;
-
Understand the roles of fund monitoring companies and their basic activities;
-
Understand the roles of investment funds and how they are operated;
-
Understand the securities depository, registration, clearing and settlement system and
its roles to the securities trading.
4. LEARNING RESOURCES: COURSE BOOKS, REFERENCE BOOKS, AND
SOFTWARES
- Course book:
1. Scott B. Smart, Lawrence J. Gitman, Michael D. Joehnk, Fundamentals of Investing,
13th Edition, Pearson Series in Finance.
2. Alex Kane, Alan J. Marcus Zvi Bodie, Essentials of Investment, Nineth Edition,
McGraw- Hill/Irwin
- Reference books:
2
 J. Cox, R. Hillman, D. Langevoort, A. Lipton, and W. Sjostrom, Securities Regulation:
Cases and Materials, Ninth Edition, Wolters Kluwer.
 He Weiping, The Regulation of Securities Markets in China, Pelgrave Macmillan
 Alan R Palmiter, Securities Regulation, Seventh Edition, Wolters Kluwer.
 Niamh Moloney, EU Securities and Financial Markets Regulation, Third Edition,
Oxford EU Law Library
 Bruce Zagaris, International White Collar Crime: Cases and Materials, Cambridge
5. COURSE GOALS
Table 5.1. Course goals
No.
Course Goal Description
[1]
[2]
Program Learning
Outcome**
[3]
Level***
[4]
Understand the process of monitoring and
apply supervising in securities market
G1
G2
PLO 1
PLO 3
Understand the activities and analyse
PLO 1
performance of securities companies
PLO 3
M
M
Understand the activities and practice
G3
investment strategies of Investment Funds,
Mutual Funds
PLO 1
PLO 3
R
Understand and judge the roles and
G4
functions of securities depository and other
PLO 1
logistics of securities trading (registration,
PLO 3
R
clearing, settlement)
(I: Introduce; R: Reinforce; M: Master)
3
6. COURSE LEARNING OUTCOMES
Table 6.1. Course Learning Outcome (CLO)
Course
Goals
[1]
CLOs
CLOs Description*
[2]
[3]
G1
Assessment
Level**
[4]
Understand the securities market monitoring, the roles and
CLO1.1
functions of Governement Agencies and Self-Regulatory
2
Organization
CLO1.2
G2
Understand the securities market supervision: definition,
framwork, content, methods
3
CLO2.1
Understand activities of securities companies
3
CLO2.2
Evaluate the business performance of securities companies
3
Understand and distinguish between fund management
3
G3
CLO3.1
company and investment funds; activities of fund
management company
CLO3.2
G4
CLO 4.1
Understand
activities
and
investment
strategies
of
3
Understand about the role of the system supporting the
4
investment funds
transaction process
CLO 4.2
Understand
activities
include
securities
registration,
4
depository, clearing, and settlement
4
7. COURSE ASSESSMENT
Table 7.1. Course Assessment
Assessment
methods
Description
[1]
Class
Time
[2]
[3]
Class participation
Week 1-15
CLOs
[4]
CLO2.1 Participation
CLO2.2
CLO3.1
with the class rules
CLO3.2
delineated below. Poor
CLO4.1
class attendance, little
[6]
CLO1.1 Teacher Diary
& Interation
in class and compliance
(%)
[5]
CLO1.2 on : (i) Class
attendance, contribution
tage
indicators *
Participation points will be based on
general class
Percen
Assessment
10%
(ii) Interation
with teachers
(iii) Answer
quality
CLO4.2
contribution in class or
non-compliance with
class rules will result in
a poor class
participation grade.
Midterm
CLO1.1
Midterm test
Assessment
at week 7
Midterm
Exam
and
(20%)
CLO1.2
Types
questions :
of
short
essay,
CLO2.1
CLO2.2
Groupworks
computation,
multiple choice
40%
CLO3.1
Group
Presentation
(20%)
CLO3.2
Group
presentation
CLO4.1
and
discussion
CLO4.2
5
Final Exam
Final exam of 90
minutes. Students have
permission to take the
final exam when they
attend more than 80%
of the total classes.
Make-up exams will
NOT be offered.
CLO1.1
CLO1.2
CLO2.1 Types
University
schedule
CLO2.2 questions :
CLO4.1 essay,
CLO4.2
of
short
50%
computation,
multiple choice
Students are allowed to
use their textbooks,
notes (hard copy).
8. LESSON PLAN
Table 8.1. Lesson Plan
Reading
Week
Topic*
document*
CLOs
*
[1]
1
2
[2]
[3]
Learning and teaching
Assessment
activities ***
methods ****
[5]
[6]
[4]
CHAPTER 1 –
SECURITIES
MARKET:
MONITORING
AND
SUPERVISION
1.1. Role of
securities market
monitoring and
supervision
1.2. Securities
market
monitoring
1
(i) Class
2
Participation
CHAPTER 1 –
SECURITIES
MARKET:
MONITORING
1
Textbook, chapter 1
(ii) Interation
Student read the required with teachers
chapter before the lecture
(iii) Answer
CLO.1.2
Teacher deliver the
quality
lecture and handle the
CLO.1.1
discusstion
2
CLO.1.1 Textbook, chapter 2 + 3
(i) Class
Participation
CLO.1.2 Student read the required
CLO.2.1 chapter before the lecture (ii) Interation
6
AND
SUPERVISION
1.3. Securities
market
supervision
1.4. Monitoring
and Supervision
securities market
in several
countries and in
Vietnam
3
Teacher
(iii) Answer
discusstion
quality
1
Textbook, Chapter 3 + 4
(i) Class
2
Student read the required Participation
CLO2.1
Group discusstion
CLO2.2
5
Group
CLO2.1
Presentation
CLO2.2
securities
companies
2.2. Activities of
securities
companies
chapter before the lecture
(ii) Interation
Teacher deliver the
lecture and handle the
discusstion
with teachers
Textbook, chapter 5
2
CHAPTER 2 –
SECURITIES
COMPANY
2.1. Overview of
the with teachers
lecture and handle the
1
4
deliver
Teacher deliver the
lecture and handle the
discusstion
Textbook, chapter 6
Student read the required
CLO2.1
quality
(i) Class
Student read the required Participation
chapter before the lecture (ii) Interation
1
2
(iii) Answer
chapter before the lecture
CLO2.2 Teacher deliver the
lecture and handle the
discusstion
with teachers
(iii) Answer
quality
(i) Class
Participation
(ii) Interation
with teachers
(iii)
Answer
quality
7
6
7
8
CHAPTER 2 –
SECURITIES
COMPANY
2.3. Evaluating
the business
performance of
securities
companies
1
(i) Class
2
CLO2.1
CLO2.2
Textbook, chapter 8
Participation
Student read the required
(ii) Interation
chapter before the lecture with teachers
Teacher deliver the
lecture and handle the
discusstion
(iii)
Answer
quality
1
CLO2.1
2
Midterm Exam
CLO2.2 Student read the required Participation
CLO3.1 chapter before the lecture (ii) Interation
Group Discussion
CLO3.2
CHAPTER 3 –
FUND
MANAGEMENT
COMPANY AND
INVESTMENT
FUND
3.1. Definition
and activities of
fund management
company
Textbook, chapter 7
Teacher deliver the
CLO4.1 lecture and handle the
CLO4.2 discusstion
(i) Class
with teachers
(iii)
Answer
quality
1
(i) Class
2
Participation
(ii) Interation
CLO2.1
Textbook, chapter 10
with teachers
Student read the required
(iii)
Answer
chapter before the lecture quality
CLO2.2
Teacher deliver the
CLO3.2 lecture and handle the
discusstion
3.2. Definition
and activities of
investment fund
3.3. Classification
of investment
fund
9
CHAPTER 3 –
FUND
MANAGEMENT
COMPANY AND
1
2
(i) Class
CLO2.1
CLO2.2
CLO3.2
Textbook, chapter 12
Participation
Student read the required
(ii) Interation
chapter before the lecture with teachers
8
INVESTMENT
FUND
3.4. Entities
relating to the
organization and
operation of
investment fund
3.5. Activities of
investment funds
Teacher deliver the
lecture and handle the
discusstion
1
Textbook, chapter 11
2
10
CLO2.1
Group Discussion
CLO2.2
Textbook, chapter 12
2
11
CLO2.1
Group
Presentation
CLO2.2
12
quality
(i) Class
with teachers
(iii)
Answer
quality
(i) Class
Student read the required Participation
chapter before the lecture (ii) Interation
CLO3.2 Teacher deliver the
lecture and handle the
discusstion
CHAPTER 4 –
SECURITIES
DEPOSITORY,
REGISTRATION
, CLEARING,
AND
SETTLEMENT
4.1. Overview of
securities
depository,
registration,
clearing, and
settlement
Answer
Student read the required Participation
chapter before the lecture (ii) Interation
CLO3.2 Teacher deliver the
lecture and handle the
discusstion
1
(iii)
with teachers
(iii)
Answer
quality
1
(i) Class
2
Participation
Textbook, chapter 12
Student read the required
CLO2.1
CLO2.2
chapter before the lecture
Teacher deliver the
CLO3.2 lecture and handle the
discusstion
(ii) Interation
with teachers
(iii)
Answer
quality
9
13
4.2. Securities
depository
CHAPTER 4 –
SECURITIES
DEPOSITORY,
REGISTRATION
, CLEARING,
AND
SETTLEMENT
4.3. Securities
registration
4.4. Securities
clearing and
settlement
Group Discussion
1
Textbook, chapter 13
2
Student read the required Participation
chapter before the lecture
CLO2.1
Teacher
deliver
(ii) Interation
the with teachers
CLO2.2 lecture and handle the
(iii)
CLO3.2 discusstion
quality
1
CLO2.1
(i) Class
2
CLO2.2 Student read the required Participation
14
Group
1
Presentation
2
15
(i) Class
Textbook, chapter 15
CLO3.1
chapter before the lecture
CLO3.2
Teacher
CLO4.1
lecture and handle the
(iii)
CLO4.1
discusstion
quality
Teacher
CLO3.1
deliver
deliver
Answer
(ii) Interation
the with teachers
Answer
and (i) Class
handle the discusstion
Participation
CLO3.2
(ii) Interation
CLO4.1
with teachers
CLO4.1
(iii)
Answer
quality
9. COURSE REQUIREMENTS AND EXPECTATION
9.1. Class Participation and Interaction
Class participation points will be based on general class attendance, contribution in class
and compliance with the class rules delineated below. Poor class attendance, little contribution
in class or non-compliance with class rules will result in a poor class participation grade.
Below are class rules:
10
1. Arrive on time and be seated and ready to begin when the class begins. If you do arrive
late for more than 30 minutes, you will not be counted for that class. Note that this class
is intended for registered students only.
2. Come prepared – read the readings assigned.
3. Turn off cell phones during classes.
4. Do not engage in individual discussions
5. No food in class time
6. Participate by contributing comments and questions during the discussions. The
instructor will call on students during the class if participants do not volunteer.
7. Please use common courtesy and polite manners in class.
8. I have no tolerance for acts of academic dishonesty.
9.2. Student communication
Studies show that students who engage in one-on-one discussions with the instructor about
the course receive better grades. I, therefore, encourage your discussion with me. You can
communicate during office hours, email or in class discussions. You also are welcome to make
separate appointments. I will be available before and after class, but only for short questions.
I also encourage feedback on the classes, lectures, teaching and reading material. We enhance
the class every semester and your thoughts are valuable in the process.
LECTURER
11