FPE019 Governance and Ethics

  • Learning outcomes
    • At the completion of this subject students should be able to:

      1. Explain how culture and leadership affects performance.
      2. Explain the risk management process.
      3. Identify principles and standards of best practice and apply them in the financial services context.
      4. Compare and contrast the different sources of law in the Australian legal environment and the regulation that applies to financial advice.
      5. Discuss corporate, regulatory and individual responses to ethical decision making in the context of the current environment in financial services.
      6. Explain what constitutes illegal conduct.
  • Subject content
    • Topic Title
      Topic 1 Leadership and culture
      Topic 2 Risk management
      Topic 3 Governance and compliance
      Topic 4 Roles and responsibilities
      Topic 5 Legal environment
      Topic 6 Role of ethics in financial services
      Topic 7 Professional conduct
      Topic 8 AFSL obligations
      Topic 9 Illegal conduct

  • CPD
    • Kaplan Professional has assessed this subject. Click here for the following CPD hours applicable from 1 January 2019 on successful completion of this course. For subjects or courses completed prior to this date, please contact Kaplan Professional’s CPD Support team on 1300 527 526 or pdmail@kaplan.edu.au.

  • Assessment
  • Prerequisites
  • Reading list
    • There are no prescribed texts for this subject.

      Details of any required and further readings for this subject are provided in the subject room.  Purchase of any text other than a prescribed text is not required.