MAA769 - Ethics for Financial Services
Unit details
| Year | 2026 unit information |
|---|---|
| Enrolment modes: | Trimester 2: Online |
| Credit point(s): | 1 |
| EFTSL value: | 0.125 |
| Unit Chair: | Trimester 2: Peter Ngigi |
| Prerequisite: | Nil |
| Corequisite: | Nil |
| Incompatible with: | MAI769 |
| Educator-facilitated (scheduled) learning activities - on-campus unit enrolment: | 1 x 3 hour on-campus seminar (recordings provided) each week |
| Educator-facilitated (scheduled) learning activities - online unit enrolment: | Online independent and asynchronous learning consisting of 1 x 1.5 hour recorded lecture and 1 x 1.5 hour online live seminar (recordings provided) each week |
| Typical study commitment: | Students will on average spend 150 hours over the teaching period undertaking the teaching, learning and assessment activities for this unit. |
Content
As a requirement of education standards provided by the Financial Adviser Standards (FAS), the unit develops students' appreciation of ethics and their ability to evaluate and apply ethical principles in the decision-making process in financial advising. 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; FAS and professional codes of ethics; applying ethical decisions in case scenarios; international business practices; and code monitoring bodies.
Learning outcomes
| ULO | These are the Unit Learning Outcomes (ULOs) for this unit. At the completion of this unit, successful students can: | Alignment to Deakin Graduate Learning Outcomes (GLOs) |
|---|---|---|
| ULO1 | 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 |
| ULO2 | Evaluate ethical issues and challenges using extant theories and principles and communicate appropriate responses to stakeholders. | GLO1: Discipline-specific knowledge and capabilities |
| ULO3 | Justify ethical decisions according to relevant national and international professional standards and codes of ethics. | GLO1: Discipline-specific knowledge and capabilities |
| ULO4 | Evaluate the role of code monitoring bodies in monitoring and enforcing adviser compliance with codes of ethical conduct. | GLO1: Discipline-specific knowledge and capabilities GLO4: Critical Thinking |
Assessment
| Assessment Description | Student output | Grading and weighting (% total mark for unit) | Indicative due week |
|---|---|---|---|
| Assessment 1: (Individual) Report (Business) | 1000 words | 20% | Week 5 |
| Assessment 2: Case study | Part A: 10 minutes | Part A: 10% | Week 9 |
| Assessment 3: Portfolio | Part A: 2000 words | Part A: 30% Part B: 10% | End-of-unit assessment period |
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.
Learning resource
The texts and reading list for MAA769 can be found via the University Library.
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.
Bring Your Own Device (BYOD)
To fully engage with Deakin's learning experiences, students must be able to access and use internet-connected devices as outlined in computing requirements at Deakin.
To support student success at Deakin, we have a bring-your-own-device (BYOD) learning environment that acknowledges that students and educators bring with them the digital tools they regularly use to complete academic tasks. These tools stay with you beyond the classroom, helping you to keep learning, explore ideas more deeply, and connect with knowledge in ways that matter to you.
Students requiring a loan device should visit our Loan Laptop webpage or students requiring longer-term assistance should visit our Student Financial Assistance webpage.
Unit Fee Information
Fees and charges vary depending on the type of fee place you hold, your course, your commencement year, the units you choose to study and their study discipline, and your study load.
Tuition fees increase at the beginning of each calendar year and all fees quoted are in Australian dollars ($AUD). Tuition fees do not include textbooks, computer equipment or software, other equipment or costs such as mandatory checks, travel and stationery.
For further information regarding tuition fees, other fees and charges, invoice due dates, withdrawal dates, payment methods visit our Current Students website.