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Subject overview


STUDY MODE

100% online

AQF LEVEL

8

NEXT INTAKE

28 Oct 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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Subject information

Learning Outcomes

On successful completion of this subject, individuals should be able to:

  • Analyse ethical dilemmas in the financial services industry and apply ethical values, principles and guidelines to business decisions and conduct.
  • Examine the powers, functions and operations of the relevant financial markets and regulatory bodies.
  • Analyse obligations and liabilities in the financial services industry in relation to common law, legislation and financial market rules.
  • Apply various common law rules, legislation and financial market rules to a given scenario.
  • Explain the concept of risk and the role of Basel II/III in risk management.

 

Topics covered

  1. The Australian legal system
  2. Ethics
  3. Overview of financial services law
  4. Regulatory Framework I
  5. Regulatory Framework II
  6. Disclosure
  7. Illegal and prohibited conduct
  8. Introduction to financial risk management

Reading list

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.

Reading list

Assessments

Assessment TypeAssessedWeighting
TaskWeek 420%
Assignment 1Week 740%
Assignment 2Week 1240%

Previous study requirements

Assumed knowledge

Not applicable.

Course transition subject equivalence

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:

  • FIN112 Law, Regulation and Ethics
  • C3 Securities Industry Law and Ethics

Key dates

Study Period 5 2024

29 Jul 2024 - 15 Nov 2024

❌ Enrolments now closed

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

Assessment dates See assessment information

Study Period 6 2024

30 Sep 2024 - 17 Jan 2025

✓ Enrolments open now

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

Assessment dates See assessment information

Study Period 1 2025

16 Dec 2024 - 4 Apr 2025

✓ Enrolments open now

Early access opens 16 December 2024

Early access to assessments 30 December 2024

Study period commences 13 January 2025

Enrolments close/census 29 January 2025

Study period ends 4 April 2025

Assessment dates See assessment information

Study Period 2 2025

10 Feb 2025 - 30 May 2025

✓ Enrolments open now

Early access opens 10 February 2025

Early access to assessments 24 February 2025

Study period commences 10 March 2025

Enrolments close/census 26 March 2025

Study period ends 30 May 2025

Assessment dates See assessment information

Study Period 3 2025

7 Apr 2025 - 25 Jul 2025

✓ Enrolments open now

Early access opens 7 April 2025

Early access to assessments 21 April 2025

Study period commences 5 May 2025

Enrolments close/census 21 May 2025

Study period ends 25 July 2025

Assessment dates See assessment information

Study Period 4 2025

2 Jun 2025 - 19 Sep 2025

✓ Enrolments open now

Early access opens 2 June 2025

Early access to assessments 16 June 2025

Study period commences 30 June 2025

Enrolments close/census 16 July 2025

Study period ends 19 September 2025

Assessment dates See assessment information

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