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Ethics and Client Management

duration Duration: 1 Teaching Period

unit code Unit Code: FIN60012

contact hours Contact Hours: Recommended 12-15 hours of study per week

About this unit

This unit prepares students to engage advanced critical and reflective skills in analysing the ethical principles and standards of professional practice in financial services, and to understand (and effectively apply) the legal compliance requirements of the financial adviser profession. Students learn to identify complex ethical issues and propose sound solutions; effectively apply resources available in support institutions; and use creative skills to improve the ethics regime of the profession.

Client management concepts and principles are practised in the context of: enhancing communication, conflict resolution and trust building skills; developing ethical and legally compliant solutions to systemic problems; and applying recent theoretical developments in social psychology and behavioural finance to foster ethical cultures.


  • Applications of the FPA Code of Professional Practice
  • Recent developments in the institutionalised ethics regime of the financial planning services industry
  • Complex ethical issues and dilemmas in financial planning services
  • Conflicts of interest: understanding and managing systemic sources
  • Advanced applications of professional conduct: applying integrity, resisting power pressure and giving voice to values
  • Advanced management of client relationships
  • Advanced communication and interpersonal skills
  • Behavioural finance: managing cognitive bias and improving heuristics
  • Advanced ethical reasoning and social intuitionist approaches to decision making
  • Advanced conflict management skills: building empathy and trust

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