Course overview
This course will develop understanding of the complexities and importance of ethics in the context of the demanding business environment associated with the provision of financial advice. The course aims to promote ethical awareness in professional providers of financial advice, including the importance of professional codes of ethics and conduct to their practice. Ethical frameworks and decision-making; decision-making, reflective practices and due diligence; professions and professional ethical codes; regulatory environment; fiduciary relationships and duties; best interest duty; conflicts of interest; consent; client engagement and relationships.
Course learning outcomes
- Identify the key professional responsibilities placed on a financial advisor by regulatory requirements.
- Explain the importance of ethical codes to the provision of financial advice, including the values that underpin the relevant codes.
- Examine expectations regarding client engagement, client relationships, and decision making.
- Establish the variety and forms of compliance and regulatory regimes affecting the provision of financial advice.
- Discuss the strategic, leadership, and global issues, impacting the financial advice professions.
- Review the nature, role and importance of professional communication and skills in the provision of financial advice.
- Demonstrate Business Enterprise Skills: i) Problem Solving (intermediate level); ii) Ethical Awareness (intermediate level); iii) Written Communication (intermediate level); iv) Oral Communication (intermediate level); and v) International Perspective (foundation level).
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