- One Semester or equivalent
- 36 hours
On-campus unit delivery combines face-to-face and digital learning. For Online unit delivery, learning is conducted exclusively online.
2021 teaching periods
|Teaching Period 3|
Last self enrolment:
Last withdraw without fail:
PrerequisitesAnti-requisite - Unit is similar in content.
FIN60009 Ethics, Regulation and Client Management
Aims and objectives
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
• 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
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).