Course overview
This course requires students to embed ethical and regulatory awareness and management of ethical and regulatory issues and requirements into their understandings of the professional practices of providers of financial advice. The course introduces 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, financial adviser decision making, and compliant delivery of financial planning services.
- Introduction To Ethics
- Applied Ethics
- Ethics In Practice
Course learning outcomes
- Explicate 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
- Commentate on the legal and regulatory frameworks that apply to financial services intermediary operations, financial products, financial product advice, and financial services intermediary licensing
- Critically review 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
- Deliberate on the strategic, leadership and global issues impacting the financial advice profession
- Critically reflect on the nature, role and importance of professional communication and skills in the provision of financial advice