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

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

2022 teaching periods

Swinburne Online

Teaching Period 2

11 Jul 22 - 9 Oct 22

1 Nov 22

Last self enrolment:
24 Jul 22

5 Aug 22

Last withdraw without fail:
26 Aug 22

More teaching periods

Higher Ed. Semester 2

1 Aug 22 - 30 Oct 22

6 Dec 22

Last self enrolment:
14 Aug 22

31 Aug 22

Last withdraw without fail:
16 Sep 22


Anti-requisite - Unit is similar in content.
FIN60009 Ethics, Regulation and Client Management

Aims and objectives

This is a new unit which will replace FIN60009 
The Financial Adviser Standards and Ethics Authority (FASEA) has approved this unit as equivalent to equivalent to FASEA Bridging Course Ethics for Professional Advisors. 
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
This unit is available as a single unit of study as part of Swinburne’s FASEA approved Bridging Courses:

FIN60010: Elements of Financial Planning and Regulation
Equivalent to FASEA Bridging Course Financial Advice Regulatory & Legal Obligations

FIN60011: Behavioural Finance and Investment
Equivalent to FASEA Bridging Course Behavioural Finance: Client and Consumer Behaviour, Engagement and Decision Making

FIN60012: Ethics and Client Management
Equivalent to FASEA Bridging Course Ethics for Professional Advisors

As an existing practising financial planner, you may need to update your credentials in order to comply with
Swinburne has a range of options from single bridging courses through to Master degree programs.

If you only need to complete one, two or three of the FASEA approved Bridging Courses then you can enrol in these as single units at Swinburne – available to study online or at the Hawthorn Campus. The Hawthorn delivery also offers a choice between intensive mode 
(3 weekends: Friday afternoon plus all day Saturday) or traditional semester mode (one 3 hour class per week x 12 weeks).