Ethics and Client Relationships

FIN20015 12.5 Credit Points Hawthorn, Online Available to incoming Study Abroad and Exchange students


  • One Semester or equivalent

Contact hours

  • 24 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.

2023 teaching periods


Higher Ed. Semester 2

31 Jul 23 - 29 Oct 23

5 Dec 23

Last self enrolment:
13 Aug 23

31 Aug 23

Last withdraw without fail:
15 Sep 23

More teaching periods
Swinburne Online

Teaching Period 2

10 Jul 23 - 8 Oct 23

31 Oct 23

Last self enrolment:
23 Jul 23

4 Aug 23

Last withdraw without fail:
25 Aug 23

Aims and objectives

This unit facilitates students’ sound understanding of the fundamental ethical principles, the main ethical issues encountered, and the ethical behaviour support resources available, in professional financial planning services practice. Students are introduced to the profession’s ethics regime, exposed to real-life ethical problems and dilemmas, and guided to develop solutions to anticipate and mitigate the consequences of (un) ethical choices and decisions in relevant professional contexts. In the second section of the unit, students learn about the skills and knowledge required for effective communication with clients in the financial planning process. Establishment of an ongoing client relationships based on trust, honesty, empathy, and technical expertise are among the other topics covered in this unit.
Unit Learning Outcomes (ULO)
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.