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Home > Subjects > FIN102 – Regulation, Ethics and Risk Management
Regulation, Ethics and Risk Management focuses on the basis of law and regulatory structure for financial services in Australia, and the role of ethics and ethical guidelines in business decisions and conduct, of which an understanding is fundamental to any role in the finance sector.
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STUDY MODE
100% online
AQF LEVEL
8
NEXT INTAKE
13 Jan 2025
SUBJECT DURATION
12 weeks
SUBJECT FEE
$2,600.00
This subject focuses on the basis of law and regulatory structure for financial services in Australia, and the role of ethics and ethical guidelines in business decisions and conduct, of which an understanding is fundamental to any role in the finance sector. The subject includes an exploration of the Australian legal system and regulatory frameworks, as they apply to banking, wealth management, and capital markets. Ethics and its application to decision-making is discussed, with a focus on a practical approach to the common ethical dilemmas that may be encountered in the financial services sector. Foundational knowledge on risk management is also covered, which provides a basis for later subjects in this area.
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On successful completion of this subject, individuals should be able to:
There is no prescribed text for this subject.
Individuals are provided with key readings and access to Kaplan Professional’s online databases. Individuals are encouraged to research and read widely on the topic.
Click here for an assessment timetable.
Not applicable.
Individuals may not be required to complete this subject if they have transitioned from a SIA/Finsia/Kaplan Professional course and have completed the following subjects:
30 Sep 2024 - 17 Jan 2025
❌ Enrolments now closed
Early access opens 30 September 2024
Early access to assessments 14 October 2024
Study period commences 28 October 2024
Enrolments close/census 13 November 2024
Study period ends 17 January 2025
Assessment dates See assessment information
16 Dec 2024 - 4 Apr 2025
✓ Enrolments open now
Early access opens 16 December 2024
Early access to assessments 30 December 2024
Study period commences 13 January 2025
Enrolments close/census 29 January 2025
Study period ends 4 April 2025
10 Feb 2025 - 30 May 2025
Early access opens 10 February 2025
Early access to assessments 24 February 2025
Study period commences 10 March 2025
Enrolments close/census 26 March 2025
Study period ends 30 May 2025
7 Apr 2025 - 25 Jul 2025
Early access opens 7 April 2025
Early access to assessments 21 April 2025
Study period commences 5 May 2025
Enrolments close/census 21 May 2025
Study period ends 25 July 2025
2 Jun 2025 - 19 Sep 2025
Early access opens 2 June 2025
Early access to assessments 16 June 2025
Study period commences 30 June 2025
Enrolments close/census 16 July 2025
Study period ends 19 September 2025
25 Aug 2025 - 14 Nov 2025
Early access opens 28 July 2025
Early access to assessments 11 August 2025
Study period commences 25 August 2025
Enrolments close/census 10 September 2025
Study period ends 14 November 2025
27 Oct 2025 - 16 Jan 2026
Early access opens 29 September 2025
Early access to assessments 13 October 2025
Study period commences 27 October 2025
Enrolments close/census 12 November 2025
Study period ends 16 January 2026
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