FIN572 Professional Ethics and Contemporary Financial Planning (8)

This is a capstone professional practice subject for financial planning students. It will draw on previous study in financial planning including such areas as superannuation, estate planning, risk and insurance, investing, taxation strategies and law. With an emphasis on the practical skills of a financial planner the subject takes the student through the complete interaction between a planner and their client from initial contact, ethical behaviour, building and maintaining client relationships and financial advice in order to prepare and deliver a Statement of Advice.

Availability

Session 2 (60)
Online
Bathurst Campus

Continuing students should consult the SAL for current offering details: FIN572. Where differences exist between the Handbook and the SAL, the SAL should be taken as containing the correct subject offering details.

Subject Information

Grading System

HD/FL

Duration

One session

School

School of Accounting and Finance

Enrolment Restrictions

Restricted to students enrolled in the Master of Applied Finance

Prerequisites

FIN531 and FIN560 and FIN564

Learning Outcomes

Upon successful completion of this subject, students should:
  • be able to evaluate and analyse client needs through effective communication and interpretation of clients requirements;
  • be able to develop skills to create a mutually respectful relationship that is built on trust and understanding;
  • be able to identify, analyse and apply ethical standards that allow client needs to be met; and
  • be able to investigate, construct, implement and evaluate a comprehensive financial plan which combine all elements and areas of client needs, to the best advantage of the client.

Syllabus

This subject will cover the following topics:
  • Communication with your client;
  • Building client relationships;
  • The nature and application of ethics in business;
  • Ethics and professional conduct;
  • Understanding client needs;
  • Conduct analysis and research; and
  • Prepare and construct a customised Statement of Advice which includes superannuation, estate planning, risk and insurance, investing and taxation strategies.

Indicative Assessment

The following table summarises the assessment tasks for the online offering of FIN572 in Session 2 2020. Please note this is a guide only. Assessment tasks are regularly updated and can also differ to suit the mode of study (online or on campus).

Item Number
Title
Value %
1
Ethics case study evaluation
30
2
Statement of advice (soa)
40
3
Disco inferno - or cracking the trust equation?
30

The information contained in the CSU Handbook was accurate at the date of publication: May 2021. The University reserves the right to vary the information at any time without notice.

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