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Home > Subjects > FIN102 – Regulation, Ethics and Risk Management
Regulation, Ethics and Risk Management focuses on the basis of law and regulatory structure for financial services in Australia, and the role of ethics and ethical guidelines in business decisions and conduct, of which an understanding is fundamental to any role in the finance sector.
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STUDY MODE
100% online
AQF LEVEL
8
NEXT INTAKE
29 Apr 2024
SUBJECT DURATION
12 weeks
SUBJECT FEE
$2,600.00
This subject focuses on the basis of law and regulatory structure for financial services in Australia, and the role of ethics and ethical guidelines in business decisions and conduct, of which an understanding is fundamental to any role in the finance sector. The subject includes an exploration of the Australian legal system and regulatory frameworks, as they apply to banking, wealth management, and capital markets. Ethics and its application to decision-making is discussed, with a focus on a practical approach to the common ethical dilemmas that may be encountered in the financial services sector. Foundational knowledge on risk management is also covered, which provides a basis for later subjects in this area.
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On successful completion of this subject, individuals should be able to:
There is no prescribed text for this subject.
Individuals are provided with key readings and access to Kaplan Professional’s online databases. Individuals are encouraged to research and read widely on the topic.
Click here for an assessment timetable.
Not applicable.
Individuals may not be required to complete this subject if they have transitioned from a SIA/Finsia/Kaplan Professional course and have completed the following subjects:
11 Dec 2023 - 29 Mar 2024
❌ Enrolments now closed
Early access opens 11 December 2023
Early access to assessments 21 December 2023
Study period commences 8 January 2024
Enrolments close/census 24 January 2024
Study period ends 29 March 2024
Assessment dates See assessment information
5 Feb 2024 - 24 May 2024
Early access opens 5 February 2024
Early access to assessments 19 February 2024
Study period commences 4 March 2024
Enrolments close/census 20 March 2024
Study period ends 24 May 2024
1 Apr 2024 - 19 Jul 2024
✓ Enrolments open now
Early access opens 1 April 2024
Early access to assessments 15 April 2024
Study period commences 29 April 2024
Enrolments close/census 15 May 2024
Study period ends 19 July 2024
3 Jun 2024 - 20 Sep 2024
Early access opens 3 June 2024
Early access to assessments 17 June 2024
Study period commences 1 July 2024
Enrolments close/census 17 July 2024
Study period ends 20 September 2024
29 Jul 2024 - 15 Nov 2024
Early access opens 29 July 2024
Early access to assessments 12 August 2024
Study period commences 26 August 2024
Enrolments close/census 11 September 2024
Study period ends 15 November 2024
30 Sep 2024 - 17 Jan 2025
Early access opens 30 September 2024
Early access to assessments 14 October 2024
Study period commences 28 October 2024
Enrolments close/census 13 November 2024
Study period ends 17 January 2025
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