Learning outcomes
On successful completion of this subject, individuals should be able to:
- Explain the role of ethical frameworks and professional standards within the financial planning profession
- Assess the impacts of cognitive, judgement and decision biases on financial advisers and their clients
- Demonstrate an understanding of professional obligations and conduct required by the values and standards of the Financial Planners and Advisers Code of Ethics 2019
- Identify and solve ethical dilemmas encountered as a financial adviser through application of ethical frameworks and professional standards
Topics covered
- Introduction to ethics, including individual cognitive bias and sources of judgement and decision bias
- The concept of professionalism
- The financial planning profession and the Code of Ethics
- Values underpinning the Code of Ethics
- The application of the Code of Ethics – Ethical behaviour (Standards 1 – 3)
- The application of the Code of Ethics – Client care (Standards 4 – 6)
- The application of the Code of Ethics – Quality process (Standards 7 – 9)
- The application of the Code of Ethics – Professional commitment (Standards 10 – 12)
- Contemporary issues in ethics and professionalism
Continuing Professional Development (CPD)
Kaplan Professional has assessed this subject. Click here for the following CPD hours applicable from 1 January 2019 on successful completion of this course. For subjects or courses completed prior to this date, please contact Kaplan Professional’s CPD Support team on 1300 527 526 or pdmail@kaplan.edu.au.
Duration
The duration of this subject is one study period (12 weeks).
How to enrol
FASEA Bridging Courses can be located under the following category within the enrolment portal:
- Financial Services – Postgraduate
Choose the following under ‘Select Course’:
- FASEA Bridging Courses
You will then be required to select your chosen study period. Once you have completed this, select the ‘Ethics and Professionalism in Financial Advice’ subject.
Click here to enrol.
Need help?
Talk to a Student Adviser on 1300 135 798.
