Financial Markets and
Institutions
Dr. Phan Thu Hiền
phanthuhien@[Link]
Agenda
Introduction
Assessment
Teaching and Learning Activities
Introduction
The module introduces learners to general issues about the financial
markets and institutions. The operations of money markets, bond markets,
equity markets, mortgage markets and foreign exchange markets are
described in detail. At the same time, the activities of financial institutions
including commercial banks, investment funds, securities companies,
insurance companies... are also discussed to clearly see the role and
position of these institutions in the market.
Learning Resources
Course slides found in LMS under ‘Slides’
Reference books:
1. [Link] and Eakins.S (2023), Financial Markets and Institutions, 10th
Edition, Pearson.
2. Saunders, A., Cornett, M. M., & Erhemjamts, O. (2024). Financial markets
and institutions (2024 release). McGraw Hill Education.
Assessment
Item Weight
Quiz (3 quizzes) 30%
To pass this subject you must:
Group Presentation 20%
• Complete all assessment tasks.
Individual Essay 50%
Assessment
• Presentation
Details
Weight: 20%
Type of Group
Collaboration:
Due: Each group will be informed
Submission: LMS site
Length: 10 – 15 minutes
Assessment
• Presentation
Details
• Teams consist of 3 up to 5 students will select any financial news in
2025 or 2026 related to Money or Capital Markets from a credible
source and conduct a 12 to 15 minutes presentation where they
analyse the news.
• The deadline for submitting the group slides is the end of week 8.
Only one person per group submits.
• Presentations take place in Weeks 10 and 11
Marking Criteria: • Presentation
CATEGORY ABOVE STANDARD MEETS STANDARD BELOW STANDARD
Content All content throughout the Content is typically confusing or
All content throughout the presentation
presentation is accurate. There contains more than one factual
is accurate. Includes extended
are no factual errors. error.
(relevant and contemporary) content
indicating further reading.
Understanding Shows a full understanding of the topic Shows a good understanding of Does not seem to understand the
(does not read from notes). the topic (some reading from topic well (reads extensively from
notes). notes).
Format: Effective introduction including topic Introduction included but does not There is no clear introduction (the
Introduction overview and presentation outline. include effective overview or assigned question is not an
outline. introduction).
Format: The conclusion is clear and includes a The conclusion is recognisable. There is no clear conclusion.
Conclusion restatement of the main points.
Use of visual aids Visual aids are used effectively, are Visual aids are used, are easy to Visual aids are not used or contain
easy to read, and contain information read, and contain relevant irrelevant information.
which enhances audience information. (May include too
understanding and interest. Includes much text on slides or have few
relevant illustrations, tables, charts or relevant illustrations, tables,
diagrams charts or diagrams)
Time Limit Presentation is 12-15 minutes long. Presentation is 10-12 minutes Presentation is less than 10
long. minutes or more than 15 minutes.
Voice and body Speaks clearly and expressively, Speaks clearly, some eye contact. Lacks clarity, inappropriate pace or
language appropriate pace and volume, volume or inadequate eye contact.
effective eye contact.
• Presentation
• Presentation slides must be submitted on LMS before the presentation day. Each group
will be required to give a presentation (excluding question time) of no more than 15 minutes.
• It is the responsibility of each member of the group to contribute equally to the discussion,
preparation, and presentation. Failure by a student to attend, make, or contribute to the group
presentation will result in the said student receiving a zero (0) weighting for this assessment
area.
• If you submit a late assessment, you will be penalised by 10% per day.
Assessment
Details •Essay
WEIGHT: 50%
Type of Collaboration: Individual
Due:
Submission:
Length:
American Psychological Association (APA) referencing style
Late Submission, without receiving approval for an extension of time, you will be
penalised by 10% per day for up to 10 days.
Marking Criteria: • Essay
CATEGORY ABOVE STANDARD MEETS STANDARD WELL BELOW
WELL ABOVE STANDARD BELOW STANDARD
STANDARD
Format: Effective introduction including Introduction included but does Introduction included but There is no clear
Introduction Effective introduction including opening overview and outline of main not include effective overview or does not include either introduction.
statement that attracts the reader’s points outline. effective overview or outline.
attention, provides an overview and an
outline of main points.
Format: Body The main points are coherently The main points are presented in The main points are presented The main points are not clear The main points
presented in paragraphs that include paragraphs. The logic of the and the logic of the argument is and/or the logic of the are incoherently
topic sentences. The logic is clear and argument is clear. clear. argument is somewhat clear. presented or the
the argument is persuasive. logic is not clear or
is confusing.
Format: The conclusion is clear and The conclusion includes a The conclusion is There is no clear
Conclusion The conclusion is clear, includes a includes a restatement of the restatement of the main recognisable. conclusion.
restatement of the main points and main points. points.
provides a sense of closure.
Evidence and Numerous, relevant examples / data are Relevant examples / data are Examples / data are included Examples / data are included Examples / data
example included along with clear and insightful included along with clear along with explanations of how but without explanations of are not included
explanations of how they support the explanations of how they support they support the argument. how they support the
argument. the argument. argument.
Data Charts / tables / figures are included Charts / tables / figures are Charts / tables / figures are Charts / tables / figures Charts / tables /
presentation where appropriate and are meaningfully included where appropriate and included where appropriate included but are not figures are not
interpreted and clearly linked to the are interpreted and clearly linked and are interpreted and linked interpreted or linked to the included
argument. to the argument. to the argument. argument.
Referencing Numerous correctly formatted citations Numerous correctly formatted Correctly formatted citations are Citations are not included or Citations are not
are included where appropriate, all citations are included where included where appropriate, all are not correctly formatted or included or there
citations are included in the reference appropriate, all citations are citations are included in the included in the reference list. is no reference list
list, all references are cited in the essay included in the reference list, all reference list, all references are There is no reference list or .
and the reference list is correctly references are cited in the essay cited in the essay and the the reference list is not
formatted. References include both and the reference list is correctly reference list is correctly correctly formatted. There
books and journal articles. formatted. There may be one or formatted. There may be one or are more than one or two
two, minor errors in formatting. two, minor errors in formatting. minor errors in formatting.
Scholarly Authoritative and insightful use of Use of numerous, relevant Some use of relevant scholarly Some use of scholarly Scholarly literature
Literature numerous, relevant scholarly literature scholarly literature is included literature is included. literature is included. is not used.
is included and enhances the argument. and enhances the argument.
Grammar, There are no spelling, punctuation or There are no more than one or There are more than one or two There are spelling, There are spelling,
punctuation, grammatical errors. two spelling, punctuation or spelling, punctuation or punctuation or grammatical punctuation or
spelling grammatical errors. grammatical errors. errors in few paragraphs. grammatical errors
in most paragraphs.
Teaching and Learning Activities
Weeks Topic Preparation Notes
1 Session 1 Chapter 2
Overview of markets and financial institutions
2 Session 2 Chapter 11
Financial markets: Money market
3 Session 3 Chapters 12
Financial markets: Bond market
4 Session 4 Chapter 13
Financial markets: Stock market
5 Session 5 Chapters 14 & 15
Mortgage market and Foreign exchange market
6 Session 6 Chapter 17&18
Financial Regulation
Teaching and Learning Activities (Cont.)
Weeks Topic Preparation Notes
7 Session 7 Chapters 19 & 20
Financial institutions: Commercial banks;
mutual funds
8 Session 8 Chapters 21 & 22
Financial institutions: Insurance Companies
and Pension Funds, Investment Banks,
Security Brokers and Dealers, and Venture
Capital Firms
9 Session 9 Chapters 23 & 24
Risk management in financial institutions
10 Session 10
Group presentation
11 Session 11
Review