Ethics and Client Relationships

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


  • One Semester or equivalent
    This unit will be delivered on-line in Semester 2 2020. 

Contact hours

  • 36 hours

2020 teaching periods


Higher Ed. Semester 2

3 Aug 20 - 1 Nov 20

8 Dec 20

Last self enrolment:
16 Aug 20

31 Aug 20

More teaching periods

Swinburne Online

Teaching Period 2

6 Jul 20 - 4 Oct 20

27 Oct 20

Last self enrolment:
19 Jul 20

31 Jul 20



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.

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.