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MAA769 - Ethics for Financial Services


2020 unit information

Important Update:

Classes and seminars in Trimester 2, 2020 will be online.

Last updated: 2 June 2020

Enrolment modes:Trimester 1: Burwood (Melbourne), Cloud (online)
Trimester 2: Cloud (online)
Credit point(s):1
EFTSL value:0.125
Unit Chair:Trimester 1: Adam Steen
Trimester 2: Peter Ngigi


Incompatible with: Nil
Typical study commitment:

Students will on average spend 150 hours over the teaching period undertaking the teaching, learning and assessment activities for this unit.

Scheduled learning activities - campus:

1 x 3 hour seminar per week

Scheduled learning activities - cloud:

Online independent and collaborative learning including 11 scheduled online workshops of 1 hour duration


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As a requirement of education standards provided by the Financial Adviser Standards and Ethics Authority (FASEA), the unit develops students' appreciation of ethics and their ability to evaluate and apply ethical principles in the decision-making process in financial planning. Topics covered include: the nature of ethics; ethical factors influencing the performance of financial services; ethical theories and principles applicable to finance professionals; ethical decision-making models; ethical issues and conflicts of interest in the financial services industry; FASEA and professional codes of ethics; applying ethical decisions in case scenarios; international business practices; and code monitoring bodies.


These are the Learning Outcomes (ULO) for this Unit
At the completion of this Unit, successful students can:

Deakin Graduate Learning Outcomes


Apply knowledge of ethical theories, principles and decision-making models in arriving at responsible and ethical judgements in financial planning scenarios.

GLO1: Discipline-specific knowledge and capabilities



Evaluate and respond (verbally and in writing) to stakeholder interests.

GLO1: Discipline-specific knowledge and capabilities



Justify ethical decisions according to relevant national and international professional standards and codes of ethics.

GLO1: Discipline-specific knowledge and capabilities
GLO8: Global citizenship


Evaluate the role of code monitoring bodies in monitoring and enforcing adviser compliance with codes of ethical conduct.

GLO1: Discipline-specific knowledge and capabilities

These Unit Learning Outcomes are applicable for all teaching periods throughout the year


Assessment Description Student output Grading and weighting
(% total mark for unit)
Indicative due week 

Assessment 1:  (Individual) Written assessment (business report)

1500 words 20% Information not yet available

Assessment 2: Case study (Group of 3)

Presentation 10 mins

Business report 2000 words




Information not yet available

Assessment 3: Examination (closed book)

2 hours 40% Information not yet available

The assessment due weeks provided may change. The Unit Chair will clarify the exact assessment requirements, including the due date, at the start of the teaching period.

Hurdle requirement

Students are required to achieve at least 50% on the exam and achieve at least 50% of total marks available.

Learning Resource

Texts and reading lists for units can be found on the University Library via the following link. Note: Select the relevant trimester reading list. Please note that a future teaching period's reading list may not be available until a month prior to the start of that teaching period so you may wish to use the relevant trimester's prior year reading list as a guide only.

Unit Fee Information

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