Ethics and Client Relationships
Duration
- 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 |
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Dates: Results: Last self enrolment: Census: Last withdraw without fail: |
Hawthorn Higher Ed. Semester 2 |
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Dates: Results: Last self enrolment: Census: Last withdraw without fail: |
Prerequisites
FIN10003 Principles of Financial PlanningCorequisites
NilAims and objectives
Graduate Learning Outcomes: Students who successfully complete this unit will be able to:
1. Analyse complex situations that may lead to conflicts of interests in client-financial planner relationships.
2. Analyse and evaluate financial dilemmas and propose ethical solutions, demonstrating consideration of systemic consequences of decisions and actions.
3. Apply knowledge of fundamental aspects of client engagement psychology for effective communication in financial services contexts.
4. Understand individual and inter-personal behavioural patterns in an organisational context, to support positive relationships with clients and peers.
5. Work effectively in diverse teams.
Unit information in detail
- Teaching methods, assessment and content.
Teaching methods
Type | Hours per week | Number of Weeks | Total |
Face to Face Contact Class | 2 | 12 | 24 |
Online Contact Directed Online Learning and Independent Learning | 1 | 12 | 12 |
Unspecified Learning Activities Independent Learning | 9.5 | 12 | 114 |
TOTAL | 150 hours |
Swinburne Online
Type | Hours per week | Number of Weeks | Total |
Online Contact Directed Online Learning and Independent Learning | 12.5 | 12 | 150 |
TOTAL | 150 hours |
Assessment
Content
- Key ethical principles and values of the FPSB and FPA codes of ethics and professional conduct, and the institutionalised ethics regime of the financial planning services industry
- Ethical issues and dilemmas in financial planning services
- Recognising and avoiding conflicts of interests
- The role of trustworthiness, honesty and integrity in professional conduct
- Resisting power pressure and giving voice to values
- Client relationships in financial planning services
- Effective communication skills
- Key concepts of interpersonal behaviour in organisations
- Empathy, trust and managing conflicts with clients
From 2022
- Key ethical principles and values of the FASEA codes of ethics and professional conduct, and the institutionalised ethics regime of the financial planning services industry
- Ethical issues and dilemmas in financial planning services
- Recognising and avoiding conflicts of interests
- The role of trustworthiness, honesty and integrity in professional conduct
- Resisting power pressure and giving voice to values
- Client relationships in financial planning services
- Effective communication skills
- Key concepts of interpersonal behaviour in organisations
- Empathy, trust and managing conflicts with clients
- Shareholder activism and climate change risk
Study resources
- Reading materials.