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Ethics, Regulation and Client Management

duration Duration: 1 Teaching Period

unit code Unit Code: FIN60009

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

About this unit

Developing and maintaining client relationships is a crucial part of financial planning. This unit is designed to equip students with a practical skill set to ensure that when a conflict of interest arises, they will be well-prepared to find an ethical solution. This skill set extends beyond an individual level, giving students the ability to evaluate systemic sources of unethical behaviour, and to demonstrate the advanced communication strategies required to resolve conflicts.


  • Ethical conflict resolution and client management solutions
  • Evaluate systemic sources of (un)ethical behaviour
  • Advanced communication skills
  • Client engagement psychology in a financial planning context
  • Cognitive and behavioural patterns in financial decision making
  • Effective team work

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