This unit will explore the ethical and professional capacities required of financial planning advisers. The FASEA Code of Ethics and the origins of ethics are investigated along with reflective practice exercises aimed at betterment of the client-adviser relationship and related compliance. 

This unit is designed to meet the approved degree requirements of Financial Adviser Standards and Ethics Authority [FASEA]. Successful completion of this unit has the added advantage of satisfying the relevant FASEA education requirements of an approved degree and will count towards the annual Continuing Professional Development (CPD) requirement to a maximum of 30 CPD hours per year.

Unit details

Location:
Victoria University Online
Study level:
Postgraduate
Credit points:
12
Unit code:
BAO7005

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Learning Outcomes

On successful completion of this unit, students will be able to:
  1. Critically review the major systems of ethics, including the FASEA Codes of Ethics, and their applications in professional practice and development of quality client relationships;  
  2. Articulate complex ethical arguments that demonstrate best interest duty and due diligence to dilemmas and opportunities occurring in financial planning practitioner-client relationships; and  
  3. Contextualise the values underpinning the FASEA Code and prescribe persuasive solutions to emerging ethical problems using a stakeholder orientation.  

Assessment

Assessment type Description Grade
Assignment Ethical and professional standards (500 words) 10%
Literature Review Exploratory literature review (2000 words) 40%
Case Study Application of Best Interest and Due Diligence to a Client-Adviser Dilemma (2500 words) 50%

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