Course coordinator
Dr Chris Bell
Course overview
- Study period
- Semester 1, 2025 (24/02/2025 - 21/06/2025)
- Study level
- Postgraduate Coursework
- Location
- St Lucia
- Attendance mode
- In Person
- Units
- 2
- Administrative campus
- St Lucia
- Coordinating unit
- Business School
This course provides an in-depth analysis of financial institution management. It covers the business activities of financial institutions and methods for measuring and managing their risk exposures.
Course requirements
Assumed background
Before attempting this course, you are advised that it is important to complete the appropriate prerequisite course(s) listed on the front of this course profile. No responsibility will be accepted by UQ Business School, the Faculty of Business, Economics and Law or The University of Queensland for poor student performance occurring in courses where the appropriate prerequisite(s) has/have not been completed, for any reason whatsoever.
Prerequisites
You'll need to complete the following courses before enrolling in this one:
FINM7065 or 7401 or 7805
Restrictions
Quota: Minimum 15 student enrolments
Course contact
Course staff
Lecturer
Dr Chris Bell
Timetable
The timetable for this course is available on the UQ Public Timetable.
Additional timetable information
Please note: Teaching staff do not have access to the timetabling system to help with class allocation. Therefore, should you need help with your timetable and/or allocation of classes, please ensure you email business.mytimetable@uq.edu.au from your UQ student email account with the following details:
- Full Name
- Student ID
- Course Code
Aims and outcomes
This course aims to provide students with a deep understanding of the management of financial institutions. The skills and knowledge gained in this course will enable students to understand the roles of financial institutions in financial markets, analyse their business operations, including lending activities, and manage various types of risks they face, such as liquidity risk, interest rate risk, and credit risk.
Learning outcomes
After successfully completing this course you should be able to:
LO1.
Identify and contrast different types of financial institutions and their functions within society, and distinguish the levels of regulation for these institutions.
LO2.
Examine in detail the on and off balance sheet products of financial institutions.
LO3.
Translate the balance sheet activities of financial institutions and select the appropriate risk mitigation techniques to preserve capital or profitability.
LO4.
Demonstrate through application how liquidity, interest rate and credit risks can be mitigated for financial institutions.
LO5.
Differentiate financial institution off-balance sheet activities, including securitisation and derivatives, and apply these activities to different scenario settings.
Assessment
Assessment summary
| Category | Assessment task | Weight | Due date |
|---|---|---|---|
| Examination |
In-Semester Exam
|
25% |
Week 7
During Lecture |
| Paper/ Report/ Annotation | Case Study Assignment | 20% |
6/05/2025 4:00 pm |
| Examination |
Final Exam
|
55% |
End of Semester Exam Period 7/06/2025 - 21/06/2025 |
Assessment details
In-Semester Exam
- Identity Verified
- In-person
- Mode
- Written
- Category
- Examination
- Weight
- 25%
- Due date
Week 7
During Lecture
- Other conditions
- Time limited.
Task description
The In-Semester Exam will be based on the materials covered from Week 1 to Week 5.
This is a closed-book, in-class, paper-based, invigilated exam that consists of 25 multiple choice questions (mix of theory and calculations).
AI Statement:
AI use policy: This assessment task is to be completed in-person. The use of generative Artificial Intelligence (AI) tools will not be permitted. Any attempted use of Generative AI may constitute student misconduct under the Student Code of Conduct.
Exam details
| Planning time | no planning time minutes |
|---|---|
| Duration | 90 minutes |
| Calculator options | (In person) Casio FX82 series only or UQ approved and labelled calculator |
| Open/closed book | Closed Book examination - no written materials permitted |
| Exam platform | Paper based |
| Invigilation | Invigilated in person |
Submission guidelines
Deferral or extension
You may be able to defer this exam.
Case Study Assignment
- Mode
- Written
- Category
- Paper/ Report/ Annotation
- Weight
- 20%
- Due date
6/05/2025 4:00 pm
Task description
A case study or scenario will be uploaded under “Assessment” and "Assignment" tab.
Please use this case study or scenario as a background to carefully develop your answers to the questions mentioned in the document titled "Assignment Instruction".
The length of your submission should be 8 pages of text excluding list of references, and figures and tables that may be placed after the list of references. Use 1.5 line spacing, 12 font size ‘Times New Roman’, ‘Normal’ margins, justified paragraphs and page numbering in the bottom right-hand side.
AI Statement:
This task has been designed to be challenging, authentic and complex. Whilst students may use AI technologies, successful completion of assessment in this course will require students to critically engage in specific contexts and tasks for which artificial intelligence will provide only limited support and guidance.
A failure to reference generative AI use may constitute student misconduct under the Student Code of Conduct.
To pass this assessment, students will be required to demonstrate detailed comprehension of their written submission independent of AI tools.
Submission guidelines
A student needs to upload the write-up in a single "pdf" file using "Case Study Submission Link" on Blackboard
Deferral or extension
You may be able to apply for an extension.
Late submission
A penalty of 10% of the maximum possible mark will be deducted per 24 hours from time submission is due for up to 7 days. After 7 days, you will receive a mark of 0.
Final Exam
- Identity Verified
- In-person
- Mode
- Written
- Category
- Examination
- Weight
- 55%
- Due date
End of Semester Exam Period
7/06/2025 - 21/06/2025
- Other conditions
- Time limited.
Task description
The final assessment will be based on materials from Week 1 to Week 12. This exam will be a closed-book, in-person, paper-based, invigilated exam.
The exam includes short answers and problem-solving questions.
AI Statement:
AI use policy: This assessment task is to be completed in-person. The use of generative Artificial Intelligence (AI) tools will not be permitted. Any attempted use of Generative AI may constitute student misconduct under the Student Code of Conduct.
Exam details
| Planning time | 10 minutes |
|---|---|
| Duration | 120 minutes |
| Calculator options | (In person) Casio FX82 series only or UQ approved and labelled calculator |
| Open/closed book | Closed Book examination - no written materials permitted |
| Exam platform | Paper based |
| Invigilation | Invigilated in person |
Submission guidelines
Deferral or extension
You may be able to defer this exam.
Course grading
Full criteria for each grade is available in the Assessment Procedure.
| Grade | Cut off Percent | Description |
|---|---|---|
| 1 (Low Fail) | 0 - 29 |
Absence of evidence of achievement of course learning outcomes. |
| 2 (Fail) | 30 - 46 |
Minimal evidence of achievement of course learning outcomes. |
| 3 (Marginal Fail) | 47 - 49 |
Demonstrated evidence of developing achievement of course learning outcomes |
| 4 (Pass) | 50 - 64 |
Demonstrated evidence of functional achievement of course learning outcomes. |
| 5 (Credit) | 65 - 74 |
Demonstrated evidence of proficient achievement of course learning outcomes. |
| 6 (Distinction) | 75 - 84 |
Demonstrated evidence of advanced achievement of course learning outcomes. |
| 7 (High Distinction) | 85 - 100 |
Demonstrated evidence of exceptional achievement of course learning outcomes. |
Additional course grading information
Grades will be allocated according to University-wide standards of criterion-based assessment.
Supplementary assessment
Supplementary assessment is available for this course.
Learning resources
You'll need the following resources to successfully complete the course. We've indicated below if you need a personal copy of the reading materials or your own item.
Library resources
Find the required and recommended resources for this course on the UQ Library website.
Learning activities
The learning activities for this course are outlined below. Learn more about the learning outcomes that apply to this course.
Filter activity type by
Please select
| Learning period | Activity type | Topic |
|---|---|---|
Week 1 |
Lecture |
Topic 1: Financial Institutions: Functions and Types |
Week 2 |
Lecture |
Topic 2: Risks of Financial Institutions Learning outcomes: L02, L03 |
Tutorial |
Tutorial: Financial Institutions: Functions and Types Tutorial questions must be downloaded from Blackboard. Students must attempt the questions before attending the tutorial session. |
|
Week 3 |
Lecture |
Topic 3: Liquidity Risk Management |
Tutorial |
Tutorial: Risks of Financial Institutions Learning outcomes: L02, L03 |
|
Week 4 |
Lecture |
Topic 4: Asset-Liability Management I |
Tutorial |
Tutorial: Liquidity Risk Management |
|
Week 5 |
Lecture |
Topic 5: Asset-Liability Management II |
Tutorial |
Tutorial: Asset-Liability Management I |
|
Week 6 |
Lecture |
Topic 6: Credit Risk Analysis Learning outcomes: L02 |
Tutorial |
Tutorial: Asset-Liability Management II |
|
Week 7 |
Lecture |
In-Semester Exam Exam during lecture class. |
No student involvement (Breaks, information) |
No tutorials |
|
Week 8 |
Lecture |
Topic 7: Loan Portfolio and Concentration Risk Good Friday Public Holiday - Friday 18 April 2025 - Check Blackboard for announcements about affected classes. Learning outcomes: L02 |
Tutorial |
Tutorial: Credit Risk Analysis Good Friday Public Holiday - Friday 18 April 2025 - Check Blackboard for announcements about affected classes. Learning outcomes: L02 |
|
Mid-sem break |
No student involvement (Breaks, information) |
In-Semester Break |
Week 9 |
Lecture |
Topic 8: Securitisation Learning outcomes: L02, L03, L05 |
Tutorial |
Tutorial: Loan Portfolio and Concentration Risk Learning outcomes: L02 |
|
Week 10 |
Lecture |
Topic 9: Off-Balance Sheet Activities Learning outcomes: L02, L05 |
Tutorial |
Tutorial: Securitisation Labour Day Public Holiday - Monday 5 May 2025 - Check Blackboard for announcements about affected classes. Learning outcomes: L02, L03, L05 |
|
Week 11 |
Lecture |
Topic 10: Capital Adequacy Requirement Learning outcomes: L02, L03 |
Tutorial |
Tutorial: Off-Balance Sheet Activities Learning outcomes: L02, L05 |
|
Week 12 |
Lecture |
Topic 11: Special Topic |
Tutorial |
Tutorial: Capital Adequacy Requirement Learning outcomes: L02, L03 |
|
Week 13 |
Lecture |
Course Revision Lecture |
Tutorial |
Tutorial: Special Topic |
Policies and procedures
University policies and procedures apply to all aspects of student life. As a UQ student, you must comply with University-wide and program-specific requirements, including the:
- Student Code of Conduct Policy
- Student Integrity and Misconduct Policy and Procedure
- Assessment Procedure
- Examinations Procedure
- Reasonable Adjustments - Students Policy and Procedure
Learn more about UQ policies on my.UQ and the Policy and Procedure Library.