THAI NGUYEN UNIVERSITY

INTERNATIONAL SCHOOL

SYLLABUS

Course title: Securities market

Course code: SEM332

Credits: 3

Program: Accounting and Finance

Thai Nguyen, 2023

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SYLLABUS

COURSE TITLE: SECURITIES MARKET

Course title: Securities market

Course code: SEM332

Department: Fac. of Economics and Management Credits: 3

Prerequisite(s): Not required

Knowledge Block

Basic courses □ Core courses □ Specialised courses 🗹 Elective courses □

Compulsory
Elective □ Compulsory □ Elective □ Compulsory □ Elective 🗹 Compulsory □ Elective □
□

1. INSTRUCTOR(s) INFORMATION:

No. Instructors’ name Email Phone number Department My site

1. Dang Trung Kien dangtrungkien.vn@gmail.com TUEBA

2. COURSE DESCRIPTION:

This course focuses on the fundamental principles and techniques of security analysis. The course will deal with the following topics: definition of

securities; securities regulation in Vietnam; the investment environment; markets and instruments; macroeconomic and industry analysis; fundamental

analysis; technical analysis; equity valuation models; financial statement analysis; derivatives instruments; and special topics.

3. OBJECTIVES OF THE SUBJECT

Goals Description Program Level

Outcomes
(ELOs)

G1 Knowledge 1. Analysis different markets and instruments;

ELO2 3
2. Point out the concepts of securities on firms

G2 3. Articulate and able to analyze market movement and make investment decisions. ELO6
3
Skills

G3 4. Show a good manner and ethics for working and investing in the securities market. ELO12
Attitude 3

4. CLO - COURSE LEARNING OUTCOMES

Goals CLOs Description Program Level

Outcomes
(ELOs)

G1 CLO1 Analysis the concepts and tools employed in institutional investment and
3
(Analysis) securities markets;
ELO2
CLO2 Point out the current issues and debates relating to topics covered in the 3
(Point out) course;

G2 CLO3 Develop analytical skills for making sound investment decisions in ELO6 3
(Develop) securities market

G3 CLO4 Apply the knowledge learned in practice to well perform the work and EL12 3
(Show) social responsibility of businesses and individuals

Matrix of Course’s Contribution Level to Program Learning Outcomes

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Course code Course Contribution level to ELOs

1 2 3 4 5 6 7 8 9 10 11 12

SEM431 Securities market 3 3 3

The Progression of Developing Course Learning Outcomes

Course Learning Outcomes

Content Knowledge Skills Attitude

CLO1 CLO2 CLO3 CLO4

Chapter 1: The Investment Environment

c b

Chapter 2: Asset Classes and Financial Instruments

c b

Chapter 3: How Securities Are Traded

b

Special Topic: Candle Stick

b

Chapter 4: Mutual Funds and Other Investment Companies

b

Chapter 5: Risk, Return, and the Historical Record

c c

Chapter 6: Behavioral Finance and Technical Analysis

c b b

Chapter 7: Macroeconomic and Industry Analysis

c c b
'Notes:

blank is undetermined level

a is the lowest contribution level
b is the median contribution level
c is the highest contribution level

5. READING MATERIALS
5.1. Textbook(s)
[1] Bodie, Z., Kane, A., and Marcus, A.J. (2021). Investments. McGraw-Hill Companies, Inc.
5.2. Optional reading(s)
[1] Jo-Hui Chen, Dang Trung Kien (2019). The Performance of Dividend ETFs: The Study of the Spillover and Leverage Effects. Theoretical Economics
Letters
[2] Dang Trung Kien, Chen Yi-Pei (2020). Ownership Structure Impact on Dividend Policy of Listed Companies on Vietnamese Securities Market. Journal
of Mathematical Finance
6. COURSE CONTENT AND SCHEDULE

6.1. Course Content and Plan

Time Allocation

Hour(s) on the class

No. Content Problem solving, Show Self-study with

Lecture Demonstration and Tell, Case study teacher's tutorials

1 Chapter 1: The Investment Environment 4 2 6 5

2 Chapter 2: Asset Classes and Financial Instruments 4 2 5 5

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Time Allocation

Hour(s) on the class

No. Content Problem solving, Show Self-study with

Lecture Demonstration and Tell, Case study teacher's tutorials

3 Chapter 3: How Securities Are Traded 4 2 6 5

Special Topic:
4 2 1 10 5
Candle Stick

Chapter 4: Mutual Funds and Other Investment

5 4 2 5 5
Companies

6 Chapter 5: Risk, Return, and the Historical Record 4 2 6 5

Chapter 6: Behavioral Finance and Technical

7 4 2 6 5
Analysis

8 Chapter 7: Macroeconomic and Industry Analysis 4 2 6 5

19
Total 30 15 50 40

6.2. Schedule of Lectures

Lecture 1-6: Chapter 1: The Investment Environment

Teaching activities Hour(s) Content Students' preparation

Real Assets versus Financial Assets

Lecture 4 ●
Financial Assets
Demonstration 2 0.5 ● - Reading books before the class

-Preparing questions for

Financial Markets and the Economy
Problem solving 2 0.5
● discussion

2 0.5 The Investment Process

Show & tell
●
Markets Are Competitive.
●
Case study 2 0.5
The Risk–Return Trade-Off / Efficient Markets

The Players
●

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

Lecture 7-12: Chapter 2: Asset Classes and Financial Instruments

Teaching activities Hour(s) Content Students' preparation

Lecture 4 - Reading books before the class

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Teaching activities Hour(s) Content Students' preparation

Money market
Demonstration 2 0.5 ●
-Preparing questions for
The Bond Market
Problem solving 2 0.5 ● discussion

- Presentation
2.3 Equity Securities
Show & tell 2 0.5
●
2.4 Stock and Bond Market Indexes
●
Case study 1 0.5
2.5 Derivative Markets
●

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

Lecture 13-18: Chapter 3: How Securities Are Traded

Teaching activities Hour(s) Content Students' preparation

How Firms Issue Securities

Lecture 4 ●
- Reading books before the class
How Securities Are Traded
Demonstration 0.5 ● -Preparing questions for

discussion
The Rise of Electronic Trading
Problem solving 0.5
●
- Presentation

Show & tell 0.5 New Trading Strategies

Globalization of Stock Markets

●
Trading Costs
●
Case study 0.5
Buying on Margin
●
Short Sales
●

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

Lecture 19-21: Special Topic: Candle Stick

Teaching activities Hour(s) Content Students' preparation

Lecture 4 - Searching for the topic from

History: Candlesticks Patterns
● different sources of materials.
Demonstration 0.5
Candle Stick -Preparing questions for
●
0.5 discussion
Problem solving
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Teaching activities Hour(s) Content Students' preparation

Show & tell 0.5

Support & Resistance

Case study 0.5 ●

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

Lecture 22-27: Chapter 4: Mutual Funds and Other Investment Companies

Teaching activities Hour(s) Content Students' preparation

Investment Companies
Lecture 4 ●
- Reading books before the class
Types of Investment Companies
Demonstration 0.5 ● -Preparing questions for

discussion
Mutual Funds
Problem solving 0.5
●
- Presentation

0.5 Costs of Investing in Mutual Funds

Show & tell
●
Fee Structure
●
Taxation of Mutual Fund Income
Case study 0.5 ●
Exchange-Traded Funds
●

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

Lecture 28-33: Chapter 5: Risk, Return, and the Historical Record

Teaching activities Hour(s) Content Students' preparation

Determinants of the Level of Interest Rates

●
Lecture 4 Comparing Rates of Return for Different Holding Periods
●
- Reading books before the class
Bills and Inflation
● -Preparing questions for

discussion
Demonstration 0.5
Risk and Risk Premiums
● - Presentation

Problem solving 0.5

Time Series Analysis of Past Rates of Return
●
Show & tell 0.5
The Normal Distribution
●
Case study 0.5
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Teaching activities Hour(s) Content Students' preparation

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

Lecture 34-39: Chapter 6: Behavioral Finance and Technical Analysis

Teaching activities Hour(s) Content Students' preparation

Lecture 4

- Reading books before the class

Demonstration 0.5
The Behavioral Critique -Preparing questions for
●
discussion
Problem solving 0.5
Technical Analysis and Behavioral Finance
● - Presentation

Show & tell 0.5

Case study 0.5

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

Lecture 40-45: Chapter 7: Macroeconomic and Industry Analysis

Teaching activities Hour(s) Content Students' preparation

The Global Economy

Lecture 4 ●
- Reading books before the class
The Domestic Macroeconomy
Demonstration 0.5 ● -Preparing questions for

discussion
Demand and Supply Shocks
Problem solving 0.5
●
- Presentation

0.5 Federal Government Policy

Show & tell
●
Business Cycles
●
Case study 0.5
Industry Analysis
●

Tutorial Working time : Venue (location)

Assessment Good ideas, interesting questions and answers

7. COURSE POLICIES

The course policy is under the current training regulations

8. COURSE ASSESSMENT

8.1. Matrix of Course Learning Outcome Evaluation

CLO Level Attendance (10%) Assignment Quiz Mid-term Final Exam

(10%) (10%) Assignment (50%)
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(20%)

CLO1 3 X X X X X

CLO2 3 X X X X X

CLO3 3 X X X X X

CLO4 3 X X X X X

8.2. The rubric of Course Evaluation

* Formative assessment

Rubric 1: Participation evaluation

Evaluation criteria Rate (%) Distinction Merit Pass Below Pass Bad
(8,5-10) ( 7,0-8,4) (5,5-6,9) (4,0-5,4) <4,0

In-class attendance 70 Attend all meetings Absence of 1-3 Absence of 3-6 meetings Absence of 6-9 Absence of more
meetings meetings than 9 meetings

Homework/assignment/In- 30 - Fully committed in- - Positively - Hardly committed in- - Have to have Only attend
class class activities committed in-class class activities lecturer’s actions classes but do not
discussion/presentation - Submit all the activities - Submit all the assigned to commit in- participate in-
assigned homework - Submit all the homework and class activities class activities
and assignments assigned homework assignments - Lack of and not submit
and assignments submitted homework and
assignments and assignments
homework

* Midterm Test

Rubric 2: Mid-term Quizzes

(Writing test)
Criteria Rate (%) Distinction Merit Pass Below Pass Bad
(8,5-10) ( 7,0-8,4) (5,5-6,9) (4,0-5,4) <4,0

Correctly answer Correctly answer Correctly answer Correctly answer Correctly answer less
Answer of the
85%-100% of the 75%-85% of the 60%-75% of the 45%-60% of the than 45% of the
questionnaires 100
questionnaires and questionnaires and questionnaires and questionnaires and questionnaires and
and exercises
exercises exercises exercises exercises exercises

* Final Test
Rubric 3: Final examination Acting on opportunities
((Writing test)
Criteria Rate (%) Distinction Merit Pass Below Pass Bad
(8,5-10) ( 7,0-8,4) (5,5-6,9) (4,0-5,4) <4,0

Correctly answer 85%- Correctly answer Correctly answer Correctly answer Correctly answer less
Answer of the
100% of the 75%-85% of the 60%-75% of the 45%-60% of the than 45% of the
questionsnaires and 100
questionsnaires and questionnaires and questionnaires and questionnaires and questionnaires and
exercises
exercises exercises exercises exercises exercises

DEAN LECTURER
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Ha Xuan Linh

Appendix: Detailed Syllabus Updating Process (Annually)

First Update:
- Summary of the 1st updated content of the syllabus: , 202
- Syllabus …… is updated according to the new output standards and the new program which has been reviewed in
<Updater signs and writes full name)
for International Business, to be applied from K… ;
- The content of the module is adjusted according to the experience of teaching the module ……. for advanced
International Business program at ISTNU and essential knowledge updates for practice;