Ethics and Client Management

FIN60012 12.5 Credit Points Hawthorn, Online Available to incoming Study Abroad and Exchange students


  • One Semester or equivalent

Contact hours

  • 36 hours Face to Face + Blended + Swinburne Online

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

2024 teaching periods

Swinburne Online

Teaching Period 3
Swinburne Online

Teaching Period 2

6 Nov 23 - 11 Feb 24

5 Mar 24

Last self enrolment:
19 Nov 23

1 Dec 23

Last withdraw without fail:
29 Dec 23

8 Jul 24 - 6 Oct 24

29 Oct 24

Last self enrolment:
21 Jul 24

2 Aug 24

Last withdraw without fail:
23 Aug 24


Anti-requisite (similar in content)
FIN60009 Ethics, Regulation and Client Management

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, and to understand (and effectively apply) the legal compliance requirements of the financial adviser profession. Students learn to identify complex ethical issues and propose sound solutions; effectively apply resources available in support institutions; and use creative skills to improve the 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 and legally compliant 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. Apply legal and regulatory requirements in professional contexts, and evaluate legal and moral consequences of non-compliance
2. Critically analyse complex situations that may lead to conflicts of interests and unethical behaviour, and provide ethical and professional solutions
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 as a leader or a member of a team