Course overview
This course aims to embed ethical and regulatory awareness and management of ethical and regulatory issues and requirements into the practices of professional providers of financial advice. The course introduces learners to the importance of professional codes of ethics and conduct to their practice, the specifics of legislative and regulatory requirements that surround these practices, and the implications of these for client engagement, client relationships and other aspects required for delivery of compliant and high-quality financial advice.
- Ethical Frameworks And Decision-Making
- Ethical Codes And The Regulatory Environment
Course learning outcomes
- Explain the importance of ethical codes and professional standards to the provision of financial advice, including the values and regulations that underpin the relevant codes and standards
- Identify and analyse the legal and regulatory frameworks that apply to financial services intermediary operations, financial products, financial product advice, and financial services intermediary licensing
- Examine and apply the key professional responsibilities regarding client engagement, client relationships and decision making placed on a financial adviser, and the impact of the various forms of compliance and regulatory regimes that affect the provision of financial advice
- Analyse the strategic, leadership and global issues impacting the financial advice profession
- Reflect on and discuss the nature, role and importance of professional communication and skills in the provision of financial advice