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Corporate Governance and Regulation Assignment
Corporate Governance and Regulation Assignment
Description:
You work as a commission-only financial planner at one of Canada’s largest banks.
Your remuneration package is based on a number of factors. Two of the most influential factors are the type and value of assets you manage for your clients. Your organization pays you the following trailing commissions based on how much of each type of fund you manage in your clients’ accounts:
- 35 basis points (or 0.35%) of the value of any fixed income funds
- 85 basis points (or 0.85%) of any third-party equity mutual funds
- 100 basis points (or 1.00%) of any proprietary equity mutual funds
- 125 basis points (or 1.25%) of any proprietary pooled funds (which contain both fixed income and equity investments)
Identify any potential ethical dilemmas that may arise under this remuneration structure, including the parties to such dilemmas, and explain how you would mitigate them to ensure that you maintain the trust of your clients, while also meeting the goals required of you by your employer.
Corporate Governance and Regulation Assignment Resources:
For help with developing your response, you may wish to review your notes from LSP500, your notes from our class during Week 9, the FPSC Standards of Professional Responsibility, and/or interview commission-based financial planners in industry to understand how they mitigate this, or similar, circumstances.
Evaluation:
Your response will be graded on your ability to identify the relevant potential ethical dilemmas that are present in this scenario, the effectiveness of your explanations, and the actions that you would engage in to mitigate any ethical issues in this scenario.
Submitting Your Assignment:
Assignments should be submitted online, via Blackboard, by 11:59 p.m. (EST) on the due date. Assignments submitted late will receive a deduction of 10% per day.
Weighting:
The assignment is worth 10% of your final grade.
Grading Rubric
Your essays will be graded based on the following rubric:
| Category | Unacceptable (0-1) | Needs Improvement (2-3) | Good (4) | Excellent (5) | Total Possible Points |
| Thesis (x3) | Essay has no clear flow of content and does not address the assignment. | Essay has incomplete or ill-defined thesis, and does not completely address the assignment. Content sometimes strays from the assigned topic. | Essay has thesis that addresses assignment. Some parts of essay could have more thoroughly supported thesis. | Essay has clear thesis that thoroughly and insightfully addresses all aspects of the assignment. All parts of the essay support the thesis and clearly and accurately make case. | 15 |
| Organization (x3) | There is no apparent organization to the essay. It shows some coherence but ideas lack unity. | There is some level of organization though digressions, ambiguities, irrelevance are too many. Transition evident but not used throughout essay. | Essay is coherent and logically organized with transitions used between ideas and paragraphs to create coherence. Overall unity of ideas is present. | Essay shows high degree of attention to logic and reasoning of points. Unity clearly leads the reader to the conclusion and stirs thought regarding the topic. | 15 |
| Content (x3) | Essay lacks evidence of critical thinking. Uses superficial, simplistic, or irrelevant reasons and unjustifiable claims. Makes illogical, inconsistent inference. | Essay is primarily opinion without valid support. Little critical thinking is evident. Follows existing evidence to obtain conclusions. | Ideas are logical and reasoned, but demonstrate lesser degree of originality. Follows evidence and reason lead to obtain justifiable, logical conclusion. | Writer develops logical and reasoned independent ideas that go beyond predictable outcomes or the conclusions of researched materials. Follows where evidence and reason lead in order to obtain defensible, thoughtful, logical conclusions or solutions. | 15 |
| Grammar & Mechanics(x2) | Sentences are unclear and many grammatical errors in structure make essay virtually unreadable. Spelling, punctuation, capitalization, and vocabulary usage contain major flaws that impede readability. | Most spelling, punctuation, and grammar correct allowing reader to progress through essay. Some errors remain. | Essay has few spelling, punctuation, and grammatical errors allowing reader to follow ideas clearly. Very few fragments or run-ons. | Essay is free of distracting spelling, punctuation, and grammatical errors; absent of fragments, comma splices, and run-ons. | 5 |
Corporate Governance and Regulation Assignment
