University of Technology Sydney

25769 Ethics for Financial Planning

Requisite(s): 25742c Financial Management AND 25741c Capital Markets
The lower case 'c' after the subject code indicates that the subject is a corequisite. See definitions for details.
These requisites may not apply to students in certain courses.
There are course requisites for this subject. See access conditions.



All financial planning professionals must have an understanding of ethical behavior and standards of conduct governing their professional judgment when advising clients and interacting with other stakeholders. This subject provides students who are interested in financial planning with the understanding of: (1) the role of the financial planning profession within the industry and its importance for society, (2) various ethical frameworks and decision making tools applicable to successful and sustainable professional practice, (3) the application of codes of ethics and standards of professional conduct to financial planning practice, (4) the importance and key aspects of due diligence processes and outcomes for client relationships, and (5) the pivotal role of clients' interests in the advisor-client relationship. Emphasis is placed on the application of tools and techniques to real-world problems to enable students to exercise responsible and sustainable decision making in their place of work.

Detailed subject description.

Access conditions

Note: The requisite information presented in this subject description covers only academic requisites. Full details of all enforced rules, covering both academic and admission requisites, are available at access conditions and My Student Admin.