Ethics, Regulation and Client Management

FIN60009 12.5 Credit Points Hawthorn, Online


  • One Semester or equivalent

Contact hours

  • 36 hours face to face + blended

On-campus unit delivery combines face-to-face and digital learning. For Online unit delivery, learning is conducted exclusively online.

FASEA have approved Swinburne unit FIN60009 – Ethics, Regulation and Client Management as meeting the requirements of the bridging course "Ethics for Professional Advisors"

Aims and objectives

This unit prepares students to engage advanced critical and reflective skills in analysing the ethical principles and standards of professional practice in financial services. Students learn to identify complex ethical issues and propose sound solutions; effectively apply resources available in support institutions; and use creative skills to improve ethics regime of the profession. Client management concepts and principles are practised in the context of: enhancing communication, conflict resolution and trust building skills; developing ethical solutions to systemic problems; and applying recent theoretical developments in social psychology and behavioural finance to foster ethical cultures.
Unit Learning Outcomes (ULO)
Students who successfully complete this unit will be able to:
1. Critically analyse complex situations that may lead to conflicts of interests, and provide ethical solutions
2. Critically analyse and evaluate systemic sources of (un)ethical behaviour, and propose professional and institutional improvements
3. Demonstrate advanced communication skills and effective application of client engagement psychology in financial planning contexts
4. Critically reflect on cognitive and behavioural patterns in financial decision making, and provide ethical client management solutions
5. Work effectively in diverse teams