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Ethics and Client Relationships

duration Duration: 1 Teaching Period

unit code Unit Code: FIN20015

contact hours Contact Hours: Recommended 10 hours of study per week

About this unit

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.


  • Key ethical principles and values of the FPSB and FPA codes of ethics and professional conduct, and the institutionalised ethics regime of the financial planning services industry
  • Ethical issues and dilemmas in financial planning services
  • Recognising and avoiding conflicts of interests
  • The role of trustworthiness, honesty and integrity in professional conduct
  • Resisting power pressure and giving voice to values
  • Client relationships in financial planning services
  • Effective communication skills
  • Key concepts of interpersonal behaviour in organisations
  • Empathy, trust and managing conflicts with clients.

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