R01 Financial Services Regulation and Ethics - Module 5 - 2024/25

By the end of week 5, you will be able to 

Understand the range of skills required when advising clients (4 standard questions)

Understand the financial regulators’ use of principles and outcomes based regulation to promote ethical and fair outcomes (7 standard questions)

Apply the Code of Ethics and professional standards to business behaviours of individuals (2 standard questions)

Critically evaluate the outcomes that distinguish between ethical and compliance driven behaviours (3 standard questions)