Course overview
To 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.
- Ethics, Ethical Frameworks, and Professional Practice
- The Regulatory Framework Associated with Financial Advice
- Ethics and Professionalism in Action
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 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
- Examine compliance and regulatory frameworks affecting financial advice.
- Discuss the strategic, leadership, and global issues, impacting the financial advice professions.
- Demonstrate Business Enterprise Skills, including problem-solving, ethical awareness, written and oral communication, and an international perspective in financial advisory contexts.
Degree list
The following degrees include this course