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Finance, Ethics and Social Responsibility

ADM4355A
Fall 2016
Professor

Pouya Safi, MBA

Office

DMS2186C

Telephone

613-562-5800 ext. 7183 (Email Preferred)


safi@telfer.uottawa.ca

E-Mail
Office Hours
Class Location

Mondays: 5:30PM-6:45PM
DMS4170

Class Hours

Tuesdays:
Fridays:

Prerequisite(s)

ADM2352, or ADM3351 and ADM3352


Optional & mandatory course of Specialization in
Finance or Financial Mathematics and Economics

Program of study

Course Deliverable

11:30AM- 1:00PM
1:00PM 2:30PM

Due Date

Weight on
Final Grade

Check Schedule

20%

Team Project

November 29th, 2016

30%

Participation

Throughout the Term

20%

Peer Evaluation

December 2nd, 2016

Variable

Team Case Analysis (4)

Final exam
TBD (December 9th 22nd, 2016)
30%
Please form groups of 4 in the first class and submit an email to the professor with a team
name, team member list, as well as a main point of contact. The team must be the same
throughout the semester.

Course Description
This course will explore ethical issues specific to the financial sector, ethical decision making,
societal impact of finance decisions, impact of responsible investing, and links among corporate
governance, reporting practices and socially responsible behavior. Students will also learn the
ethical and professional standards as outlined by the CFA Institute within the Code of Ethics
and Standards of Professional Conduct, which is material that is essential in passing the first of
three exams. The class will use lectures, group discussions, case analysis, videos, guest speakers
and student presentations to cover the necessary materials. The class will aim to be as interactive
as possible by taking advantage of the resources within the Financial Research and Learning Lab
such as Bloomberg and Factset, as well as relevant news items as they come out.

Course Contribution to Program Learning Goals


LG1 Understand, Apply and Integrate Core Management Disciplines
Learning the importance that ethics and social responsibility has in finance and its
curriculum.
LG2 Demonstrate Critical Thinking and Decision Making Skills
Ethical thinking and decision making is a crucial foreground to working in the Finance
industry. Stressing the importance of the process of ethical decision making will help
develop these skills. The course will also show how company returns are often times tied
to their corporate governance, social responsibility as well as accounting practices.
LG3 Demonstrate Leadership, Interpersonal and Communications Skills
Students will continue to develop these skills through written reports, presentations and
class discussions, all of which need to be delivered succinctly, clearly, and to the point.
LG4 Apply high standards of Integrity, Ethics and Social Responsibility
The course provides guidelines around ethical behaviour and social responsibility in
Finance. Topics will include ethical issues specific to the financial sector, ethical decision
making, societal impact of finance practices and socially responsible behaviour.
LG5 Unlock the value of globalization
Internationally recognized designation such as the CFA will help adapt and work in and
within a global setting. This course helps prepare students for the ethics portion of the
first level exam of the CFA.
LG6 Pursue Self-Development and Exhibit a Commitment for Life-long Learning
This course will help prepare students for the ethics and professional standards portion of
the first level testing for the CFA designation. CFA is an internationally recognized
professional credential for individuals looking for a career in finance or investments.
LG7 Provide Value to the Business Community in a chosen Area of Specialization CFAs
are widely recognized not only in Canada but throughout the world as having gone through
strict testing and certification process. CFAs are highly valued within the industry as they
possess the standard knowledge, skills and training firms demand.

Course Learning Objectives


Everyone at some point in their careers is faced with ethical dilemmas for which they need to
make decisions and which could have severe consequences depending on the decision made. In
the financial world these ethical dilemmas can come at a much quicker pace and much higher
cost than any other industry. This course is designed to provide students with the understanding
of ethical issues in finance, investment decisions, and portfolio management as well as provide
them with an ethical decision making framework. It is also important to understand how
company returns are often times linked to a companys specific accounting practices, corporate
governance and corporate social responsibility decisions. The course is also designed to help
students prepare for the ethics portion of the CFA Level 1 exam by teaching the specific ethical
and professional standards recommended by the CFA Institute as found in their Standards of
Professional Contact and its overarching Code of Ethics. Finally, the class will have the
benefit of being held within the Financial Research and Learning lab, which will allow students
to hone in on their skills of relevant databases to do analysis on a companys ESG practices and
any ethical issues. It will also allow us to start each class with a quick discussion on relevant
news in the world of ethics, finance and social responsibility. Above all, the course is meant to
leave a lasting impression on graduating students and something they will remember far into
their careers. To achieve this, it will be important to have fun and learn from each other.

Methods Used to Evaluate Student Performance


Class Participation (20%)
Class participation will be a function of both attendance and your overall contribution to the
class and its discussions. 10% (of the 20%) participation will be a result of attending all classes;
each unexcused missed class will result in a 2% deduction (up to 10%). By missing 5 classes,
you will lose 10%. The remainder 10% for participation will be as a result of your contribution to
the classroom discussions, ethics in the news, case analysis, guest speakers and overall impact
provided to the class. It will be both the level of quality and quantity of your contributions. The
true value of this class will be the level of discussion that is generated from each of the students.
At the end of each class, students can submit a short email (maximum 4 lines) to the professor
detailing their contributions to the specific class. Should you choose not to send an email; it
will be up the professor to remember your level of participation for the class.
Team Case Analysis (4 x 5%)
There will be four graded cases throughout the semester. Each case requires a short memo (3-5
page maximum, excluding appendices) along with a corresponding slide deck (Max 7 slides).
For each case, 2-3 teams will be selected at random to present the case in front of the class (10
minutes) and lead the class discussion. Please use the case method format for the memos and
presentations (Problem, Key Facts, Options, Analysis, Recommendation, and Implementation).
A guide to case analysis will be made available on Blackboard if you are not familiar with the
case method. Having all teams be prepared to present all cases will ensure everyone is ready to
participate and discuss their viewpoints. Make sure your memos and presentations are wellwritten, concise, and to the point. All written reports require ethics statement.
Hard copies of memos and slides are to be submitted at the beginning of the class for which the
case is due. A softcopy should also be emailed to the professor by the start of class. Memos
should be 1.5 spacing, with 1 inch margins and 12 point font. Use standard slide formatting.

Case Rubric:
Identification of
the main and sub
issues/problems

Analysis of the
issues

Comments and
analysis on
effective
solutions/strategies
(alternatives) and
implementation
plan-- The
solution may be in
the case already or
proposed by you

Links to course
content and
additional
research

Level 4
Identifies and
understands all
of the main and
sub issues in
the case study
Insightful and
thorough
analysis of all
the issues
Well
documented,
reasoned and
pedagogically
appropriate
comments on
solutions,
proposals for
solutions
(alternatives),
to all issues in
the case study
as well as a
detailed
implementation
plan
Excellent
research into
the issues with
clearly
documented
links to class
(and/or outside
readings)
Slides are very
well crafted,
get all the main
points across in
a concise and
to the point
manner

Level 3
Identifies and
understands
most of the
main and sub
issues in the
case study.
Thorough
analysis of
most of the
issues
Appropriate,
well thought
out comments
about
solutions,
proposal for
solutions
(alternatives),
to most of the
issues in the
case study as
well as an
implementation
plan

Good research
and
documented
links to the
material read.

Level 2
Identifies and
understands
some of the
issues in the
case study

Level 1
Identifies and
understands
few of the
issues in the
case study

Superficial
analysis of
some of the
issues in the
case
Superficial
and/or
inappropriate
solutions to
some of the
issues in the
case study with
a very broad
implementation
plan

Incomplete
analysis of the
issues

Limited
research and
documented
links to any
readings.

Incomplete
research and
links to any
ready.

Little or no
action
suggested, and
or
inappropriate
solutions to all
of the issues in
the case study
and no
implementation
plan.

Weight

/5

/10

/20

/10

Slides are
Slides are
Slides are
missing some
missing key
poorly created,
key elements
elements and
lack
and fail to
are not concise professionalism
/5
capture all the
and to the
and content to
elements or are point.
make it
not as concise
effective.
as should be.
* Please remember that it is quality over quantity, as a 3 page memo can be much better than a 5 page
one that is strictly restating the facts.
Slides

Company CSR, ESG and Ethical Analysis and Report (30% Report)
As an analyst for a socially responsible investment fund, you understand that your firms goal is
to find and invest in companies that will not only provide financial return but which are socially
conscious and sustainable. Your Portfolio Manager has asked you to select ANY existing public
company and create a report which outlines and analyzes its corporate governance structure,
CSR, ESG and any existing, past or forward looking ethical issues and dilemmas. Once youve
created your profile, and outlined all pertinent issues, you are then to assess the company in these
areas. You should comment on how they are doing, whether there are areas for improvement,
what they are doing or have done in the past to improve, and how they could further improve.
Your final task is to take a stance and decide whether you and your firm should invest in this
company based on your analysis and again providing your reasons as to why or why not. You
can and are encouraged to use some financials to back-up your analysis or recommendations.
Remember, your job is not to find good companies to invest in; it is to create complete profile.
When selecting your company, you may look at companies that have had ethical, social
responsibility or governance issue currently or in the past, or decide to select a company you feel
is exemplary in all areas. You must formulate your own opinions about the company not
take the opinion of someone else.
A good report will look at the below items/topics:
1. Brief Industry Overview and Company History
2. Corporate Governance Structure
a. Complete profile of all relevant factors (see CFA/OSC guidelines)
3. Corporate Social Responsibility/Environmental, Social and Governance (See CFA ESG
Factors)
a. Environmental Concerns
b. Social Concerns
c. Corporate Concerns
d. Disclosures and Regulations
e. Comparison against peers
4. Look at any financial markets impacts (broad market and security specific)
5. Thorough Assessment, Analysis and Recommendations
Information Gathering:
You are encouraged to use Bloomberg, Factset, Capital IQ or an equivalent when gathering
relevant information and data. Some very valuable sources that should be consulted are the
Corporate Governance Guidelines from the CFA Institute and OSC as well as Environmental,
Social and Governance Factors at Listed Companies from the CFA Institute.
You should also collect information from the companys Annual Information Form and
Management Information Circular, news and magazine articles, companys Corporate
Governance Disclosures, Report on Business, or the Clarkson Centre for Business Ethics and
Board Effectiveness.
The Management Librarys Company Information Research Guide can also be a great help in
helping you get started for your research on the company.
Make sure all information is properly sourced.

Additional Details:
Groups of 4 students (same team as all other assignments). No two teams can select the same
company. Companies must be submitted to the professor by September 20th for approval, and are
on a first come basis. It would be suggested to select a top three list of companies in case your
first choice has already been selected.
The report should be no longer than 20 pages (excluding appendices), using 12pt font, 1 inch
margins, and 1.5 spacing.
The report is due in hard copy at the beginning of class on Tuesday November 29th. A soft-copy
must also be sent to the professors email before the start of the same class.
All written reports require ethics statement.

Company CSR, ESG and Ethical Profile: Assessment Matrix


Group: _____________________________
Element
Brief Industry overview
and company history
Research Results
Corporate Governance
Profile
Research Results CSR
and ESG- Environmental,
Social, and Corporate
Constraints/Concerns:
Research Results
Financial Market Concerns
(Broad Market & Security)
Critical Thinking

Investment
Recommendation, and
Conclusions

Communication
Grammar, Spelling and
Referencing
Communication
Effective Style and Clarity

Communication Organization

Overall Assessment

4: Exceeds Expectation

3:Meets Expectations

2:Approaching Expectations

1:Below Expectations

Clearly and concisely goes


over key industry and
company information to
create a clear picture.
Addresses all relevant
Corporate Governance
factors in great detail
Addresses all CSR and ESG
constraints/concerns as well
as past and current ethical
dilemmas at great depth.
Also takes a look at all
disclosures and regulations.
Addresses all Financial
Market concerns in detail

Goes over some industry and


company information. Lacks
completeness to either
industry or company info.
Addresses key Corporate
Governance factors in
reasonable depth
Addresses key CSR and ESG
constraints/concerns as well
as key ethical dilemmas in
reasonable depth. Also takes
a look at key disclosures and
regulations
Addresses key Financial
Market concerns in
reasonable depth
Seeks out information;
considers some diverse
perspectives; some effort to
compare across companies
and interpret impact of
differences
Makes an investment
decision and assessment
considering some elements,
and gives some reasoning
behind recommendation and
conclusions
The document has a few
typographical errors and no
grammatical errors.
References are generally
appropriately cited.
Effective writing style,
sentences are supported with
some reasoning and/or
evidence. Some of the
sentences require more work
in terms of clarity
Information is presented in a
manner that is generally well
organized, with a clear
introduction and conclusion,
some transitions, and a
generally logical sequence of
arguments

Missing many important industry


facts as well as company historical
information.

Little to no industry overview


or company history.

Addresses some Corporate


Governance factors in reasonable
depth
Addresses some CSR and ESG
constraints/concerns as well as some
key ethical dilemmas in reasonable
depth. Only takes a look at some
disclosures and regulations

Addresses few Corporate


Governance factors or
responds in limited depth
Addresses few CSR and ESG
constraints/concerns or ethical
dilemmas, or responds in
limited depth. Does not look
at disclosures or regulations.

Addresses some Financial Market


concerns in reasonable depth
Assumes information is valid;
considers only a few perspectives;
limited effort to compare across
companies and interpret impact of
differences

Addresses few Financial


Market concerns or responds
in limited depth
Assumes information is valid;
considers a single perspective;
little or no effort to compare
across companies and
interpret impact of differences

Makes an assessment and


investment decision that considers
very few elements; limited effort to
making a rational investment
decision/assessment based on facts
and conclusions
The document has a few
typographical errors and minor
grammatical errors. Some references
are inappropriately or incompletely
cited.
Writing style could be more
effective. Some parts of document
are confusing due to unclear
sentences and lack of reasoning

Makes an investment decision


(or no decision), that uses no
real justification and rational,
or makes no conclusions.
Does a poor job of assessing
the company overall
The document has several
spelling and major
grammatical errors. Several
references are inappropriately
or incompletely cited.
Writing style is ineffective.
Several complete and/or run
on sentences. Logical flaws
between sentences.

Information is presented in a manner


that has some organization problems
in terms of clarity, introduction,
conclusion, and/or transitions

Information is presented in a
manner that is confusing and
hard to follow because it lacks
structure, clarity, and a logical
flow

Views information critically;


considers diverse
perspectives; compares
across companies and
interprets impact of
differences
Makes a solid assessment
and investment decision
based on all relevant factors,
and outlines reasons behind
recommendation and
conclusions
The document is free from
spelling and grammatical
errors. References are
always appropriately cited.
Very effective writing style,
sentences are clearly written
and supported with
reasoning and/or evidence

Information is presented in a
very well organized manner,
with an effective and clear
introduction and conclusion,
smooth transitions, and a
logical sequence of
arguments

Weighting
5

15
25

20

10

10

100

Points

Final Exam (30%)


The final exam is cumulative and covers all materials discussed in the course, including
concepts, examples, articles, readings, guest speakers, presentations, and cases. The final format
of the final exam will be discussed near the end of the term. Expect multiple choice, short answer
questions as well as cases with questions.
Peer Evaluation (Variable)
Peer evaluations are mandatory for all students and groups and must be completed by December
2nd, 2016. A link and instructions to the online peer evaluation form will be provided at the end of
the semester. You must clearly justify evaluations below and above 3 by providing clear
behavioural examples. You must also provide specifics if it relates to any cases or final reports.
You can also use this as an avenue to provide constructive feedback to teammates. Your peers will
be able to see averages and feedback, but will not be able to see who posted it.
If an individual or team average is 3 and above, nothing is required and no action taken. If the
team or individual average is below 3, then the evaluation will be reviewed and will require a
group meeting to determine appropriate action on grade.
Please note that it is not possible to submit extra course work in order to improve your mark.

Course Attendance
Course attendance is mandatory and critical to receiving full participation marks. Attendance
will be taken each class. Should you need to miss a class, you must inform the professor with the
reason why you will be absent at least 24 hours before class. Only approved absences will not
result in lost participation for the class. Should you miss a class, it is your responsibility to find
what you missed from another student. I will not repeat material that was gone over in class
during office hours because that student missed a class. Each unexcused missed class will result
in a 2% loss of participation up to 10%.

Course Preparation
Please come to class prepared. This means you are to read all related course readings assigned
for the week (chapters, articles, cases) prior to class and be prepared to contribute when called
upon. You will benefit greatly from having read and learned some of the theory/cases/articles
prior to class, and it will also allow you to absorb the lecture material. Class time will be meant
as a review of some of these concepts, and a time for group discussions (we will function almost
as a semi-flipped classroom). Slides, notes and discussion in classes cover basic concept from the
materials, they should not be substitutes for reading and understanding of textbook and required
reading materials. By being prepared, you are improving everyones learning environment.
Please be respectful to the class, the guest speakers and the professor. As a function of this, use
of cell phones is not permitted during class. Use of laptops and computers in the lab are
also only to be used for either note taking, or as requested by the professor, not surfing the
web/social media.

Textbook/Course Package
Required Text
Investment Ethics, Peck, 1st Edition, Wiley
*Can be purchased from the bookstore or electronically.
Required Case Pack
You will be required to purchase a case pack directly from Ivey Publishing. You must create an
account with them if you do not already have one (click register or log in on
www.iveycases.com) and then go to the following link and add to cart and then checkout:
https://www.iveycases.com/CoursepackView.aspx?id=10179

You are free to choose the digital or print version. Download as soon as possible, as you will
only have access to do so for 30 days.
Required Readings and Other Reference Materials (Available free on CFA Website):
Ethical and Professional Standards: Study Session 1, (CFA Institute, 2015)
Standards of Practices Handbook, 11th Edition, (CFA Institute, 2014)
The Corporate Governance of Listed Companies: A Manual for Investors, (CFA Institute, 2009)
Environmental, Social and Governance Factors at Listed Companies: A Manual for Investors,
(CFA Institute, 2008)
Global Investment Performance Standards, (CFA Institute, 2010)
Theories of Corporate Governance: The Philosophical Foundations of Corporate Governance,
Clarke, Routledge
Articles:
Articles, videos, and other unmarked cases for discussion will be made available on Blackboard
at least 1 week before the session for which they will be used.
Relevant Movies
The Wolf of Wall Street (2013)
Margin Call (2011)
Inside Job (2010)
Enron: The Smartest Guys in the Room (2005)
Boiler Room (2000)
Rogue Trader (1999)
The Insider (1999)
Barbarians at the Gate (1993)
Wall Street (1987)
Trading Places (1983)
Recommended Books for Leisurely Reading
When Genius Failed, Roger Lowenstein, Random House
Liars Poker, Michael Lewis, Penguin Books
Den of Thieves, James B. Stewart, Simon & Schuster Paperbacks

Course Schedule
**Class schedule and content may be modified and adjusted to accommodate guest speakers
and real-time news events. This outline will be only be used as a starting point and notice will be
given when there is to be a change in the schedule and content.
Class

Date

Topic

Readings

Due

First half of Semester


Intro to Class and Housekeeping (Syllabus +
Case Review)
The Case for Investment Ethics
CFA Ethical Decision Making Model

Peck, Ch. 1
CFA Ethical Decision Making
Model

Case Discussion

In class Case: Avid Life (A)

Friday, September
9, 2016

Tuesday,
September 13,
2016

Friday, September
16, 2016

Fiduciary Duty of Investment ProfessionalsThe Ethical Treatment of the Client

Peck, Ch. 2

Tuesday,
September 20,
2016

Discussion or Guest Speaker: RCMP- IMET

Guest Speaker Prep

Friday, September
23, 2016

Ethical Reporting of Investment Performance

Peck, Ch. 3

Tuesday,
September 27,
2016

Case 1: Discussion, Analysis and Presentation

Case 1: Invest or Take

Friday, September
30, 2016

Ethical Use of Information


Analyst Integrity

Peck, Ch. 4, 5

Tuesday, October
4, 2016

Guest Speaker: Trevor Kennedy - Logan Katz


Investing in Companies with Ethical
Accounting Practices

Peck, Ch. 6

Friday, October 7,
2016

Investing in Companies with Good Corporate


Social Responsibility

Peck, Ch. 7

10

Tuesday, October
11, 2016

Case 2: Discussion, Analysis and Presentation

Case 2: Apple Corporate


Governance and Stock Buyback

11

Friday October 14,


2016

Social Responsible Investing

Peck, Ch. 8

Company
Name

Case 1
Report +
Slide Deck

Case 2
Report +
Slide Deck

12

Tuesday October
18, 2016

Social Responsible Investing (pt. 2)

Peck, Ch. 8

13

Friday October 21,


2016

Guest Speaker: John Hastings - RBC

Speaker Prep

Tuesday October
25, 2016

Reading Week

Friday October 28,


2017

Reading Week

Second half of Semester


14

Tuesday November
1, 2016

Case 3: Discussion, Analysis and Presentation

Case 3: Apple and its Suppliers

15

Friday November 4,
2016

CFA InstituteCode of Ethics


Standard I: Professionalism

Code of Ethics
Standards of Practices Handbook:
Standard I

Guest Speaker: Ed Lee- Franklin Templeton

Speaker Prep

Standard II: Integrity of Capital Markets

Standards of Practices Handbook:


Standard II

Guest Speaker: Paula Glick - MSCI

Speaker Prep

Case 4: Discussion, Analysis and Presentation

Case 4: Stock Manipulation by


Chinas Pangang Group

Standard III: Duties to Clients

Standards of Practices Handbook:


Standard III

Standard IV: Duties to Employers


Standard V: Investment Analysis,
Recommendations, and Actions

Standards of Practices Handbook:


Standard IV & V

16
17
18

Tuesday November
8, 2016
Friday November
11, 2016
Tuesday November
15, 2016

19

Friday November
18, 2016

20

Tuesday November
22, 2016

21

Friday November
25, 2016

22

Tuesday November
29, 2016

Case Discussion

In class case: Was insider Trading


ahead of Takeovers a problem?

23

Friday December 2,
2016

Standard VI: Conflicts of Interest


Standard VII: Responsibilities as a CFA
Institute Member or CFA Candidate
Global Investment Performance Standards

Standards of Practices Handbook:


Standard VI & VII
GIPS Factsheet, GIPS Article

24

Tuesday December
6, 2016

Ethics Wrap-Up

Case 3
Report +
Slide Deck

Case 4
Report +
Slide Deck

Final
Project +
Slide Deck

Beware of Academic Fraud


Academic Regulation 14 defines academic fraud as any act by a student that may result in a distorted academic evaluation for
that student or another student. Academic fraud includes but is not limited to activities such as:
a) Plagiarism or cheating in any way;
b) Submitting work not partially or fully the students own, excluding properly cited quotations and references. Such work
includes assignments, essays, tests, exams, research reports and theses, regardless of whether the work is written,
oral or another form;
c) Presenting research data that are forged, falsified or fabricated;
d) Attributing a statement of fact or reference to a fabricated source;
e) Submitting the same work or a large part of the same piece of work in more than one course, or a thesis or any other
piece of work submitted elsewhere without the prior approval of the appropriate professors or academic units;
f) Falsifying or misrepresenting an academic evaluation, using a forged or altered supporting document or facilitating the
use of such a document;
g) Taking any action aimed at falsifying an academic evaluation.1

The Telfer School of Management does not tolerate academic fraud. Please familiarize
yourself with the guidance provided at: http://web5.uottawa.ca/mcssmc/academicintegrity/home.php

The Telfer School of Management asks that students sign and submit with their deliverables the
Personal Ethics Agreement form. Two versions of this form exist: one for individual
assignments, and one for group submissions. Assignments will not be accepted or marked if
this form is not submitted and signed by all authors of the work. We hope that by making
this personal commitment, all students will understand the importance the School places on
maintaining the highest standards of academic integrity.

Personal Ethics Statement Concerning Telfer School


Assignments
Group Assignment:
By signing this Statement, I am attesting to the fact that I have reviewed not only my own work,
but the work of my colleagues, in its entirety.
I attest to the fact that my own work in this project meets all of the rules of quotation and
referencing in use at the Telfer School of Management at the University of Ottawa, as well as
adheres to the fraud policies as outlined in the Academic Regulations in the Universitys
Undergraduate Studies Calendar. Academic Fraud Webpage
To the best of my knowledge, I also believe that each of my group colleagues has also met the
rules of quotation and referencing aforementioned in this Statement.
I understand that if my group assignment is submitted without a signed copy of this Personal Ethics
Statement from each group member, it will be interpreted by the Telfer School that the missing
student(s) signature is confirmation of non-participation of the aforementioned student(s) in the
required work.
______________________________

__________________________

Signature

Date

______________________________

__________________________

Last Name (print), First Name (print)

Student Number

______________________________

__________________________

Signature

Date

______________________________

__________________________

Last Name (print), First Name (print)

Student Number

______________________________

__________________________

Signature

Date

______________________________

__________________________

Last Name (print), First Name (print)

Student Number

______________________________

__________________________

Signature

Date

______________________________

__________________________

Last Name (print), First Name (print)

Student Number

______________________________

__________________________

Signature

Date

______________________________

__________________________

Last Name (print), First Name (print)

Student Number

Personal Ethics Statement


Individual Assignment:
By signing this Statement, I am attesting to the fact that I have reviewed the entirety of my attached
work and that I have applied all the appropriate rules of quotation and referencing in use at the
Telfer School of Management at the University of Ottawa, as well as adhered to the fraud policies
outlined in the Academic Regulations in the Universitys Undergraduate Studies Calendar.
Academic Fraud Webpage

______________________________

__________________________

Signature

Date

______________________________

__________________________

Last Name (print), First Name (print)

Student Number

The University of Ottawa will not tolerate any act of sexual violence. This includes acts such as
rape and sexual harassment, as well as misconduct that take place without consent, which
includes cyberbullying. The University, as well as various employee and student groups, offers a
variety of services and resources to ensure that all uOttawa community members have access to
confidential support and information, and to procedures for reporting an incident or filing a
complaint. For more information, please visit http://www.uOttawa.ca/sexual-violence-supportand-prevention/.

Access Service for students who need adaptive measures


Students who have a disability or functional limitation and who need adaptive measures (changes
to the physical setting, arrangements for exams, learning strategies, etc.) to progress or
participate fully in university life should contact Access Service right away:
By visiting our office on the third floor of the Desmarais Building, Room 3172
By filling out the online registration form
By calling us phone at 613-562-5976
Access Service designs services and implements measures to break down barriers to learning for
students with physical or mental health problems, visual impairments or blindness, hearing
impairments or deafness, permanent or temporary disabilities, or learning disabilities.