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Subject overview


STUDY MODE

100% online

AQF LEVEL

8

NEXT INTAKE

4 Mar 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.

Master of Applied Finance >

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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

Duration

The duration of this subject is one study period (12 weeks).

Prerequisites

There are no prerequisites for this subject. However, individuals should review the ‘Assumed Knowledge’ tab to understand the prior knowledge Kaplan Professional advises they should hold before enrolling in this subject.

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 1

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

Study Period 2

5 Feb 2024 - 24 May 2024

✓ Enrolments open now

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

Assessment dates See assessment information

Study Period 3

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

Assessment dates See assessment information

Study Period 4

3 Jun 2024 - 20 Sep 2024

✓ Enrolments open now

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

Assessment dates See assessment information

Study Period 5

29 Jul 2024 - 15 Nov 2024

✓ Enrolments open now

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

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

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