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Professionalism: Conduct & Ethics

Professionalism: Conduct & Ethics has been designed to provide foundation skills for ethical competence for the finance industry. 

The course is a pathway for individuals to achieve a government recognised industry standard for business ethics and conduct skills for the finance industry, and a transparent and achievable way for a firm to demonstrate its commitment to the high professional standards expected by regulators.

Developed in consultation with AFMA member firms, the course draws on ethical theory and behavioural psychology and applies insights from these disciplines to real-word financial markets case-studies.

Successful completion of the course will give a set of practical tools for your working life as a financial markets professional. Specifically, you will gain:

  • a practical approach for reflecting on ethics and values
  • an ethical decision-making framework
  • strategies for countering the impact of cognitive biases, social dynamics and financial remuneration, all of which influence how you view situations and the decisions you make
  • processes for preparing to act effectively on your values in the workplace and speak up when appropriate.

These essential skills ensure individuals, teams, divisions and organisations can be confident that their work meets the emerging conduct standards and enables them to demonstrate this to others, both within and outside the industry.

Who is it for?

This course is designed for anyone working in financial markets and will be particularly useful for those in front and middle office and operations roles.

From March 2019 onwards the course will be mandatory for those seeking AFMA Accredited Status. 

How do you undertake the course?

Depending on your professional work experience and training, you can choose to complete the course via one of two pathways:

Professionalism: Conduct & Ethics (full version)
The "full version" of the course comprises both learning and assessment. Individuals will learn in an interactive online environment, incorporating online lessons, quizzes, and workshop attendance. Assessment is in the form of online activities, workshop activities and a skills assessment.

Professionalism: Conduct & Ethics (RPL assessment-only)
Experienced individuals who have sufficient work experience and training may be eligible for recognition of prior learning (RPL) to apply for this version. They must complete a written skills assessment but are exempt from the learning requirements.

How long do I have to complete the course?

Once enrolled, you have up to 6 months to complete the full FNSSS00013 Business Ethics and Conduct Skill Set.

What will you achieve?

When you successfully complete the course you will achieve one or more of the following:

  • The nationally recognised and government endorsed FNSSS00013 Business Ethics and Conduct Skill Set
  • Partial completion of the requirements for AFMA accredited individual status - if your employer is an AFMA member.