Credit points: 15

Subject outline

Ethical behaviour and responsibility are fundamental for financial services professionals in the contemporary business environment. Professionals in the financial services industry are required to have an ability to understand, evaluate and apply principles of ethics, governance, accountability and risk management. In this subject, you will gain knowledge and understandings of the key theoretical and practical elements of ethics, governance and risk management. You will focus on topics such as ethical theories, ethical decision-making processes, junctures between ethics, professionalism and organisations, economic crime, corporate governance mechanisms, boards of directors, corporate social responsibility, and risk management concepts and frameworks.

SchoolLa Trobe Business School

Credit points15

Subject Co-ordinatorKamran Ahmed

Available to Study Abroad/Exchange StudentsYes

Subject year levelYear Level 3 - UG

Available as ElectiveYes

Learning ActivitiesLecture and tutorial classes, online resources, self-assessment activities, and in-class discussions and review.

Capstone subjectNo

Subject particulars

Subject rules



Incompatible subjectsN/A

Equivalent subjectsN/A

Quota Management StrategyN/A

Quota-conditions or rulesN/A

Special conditionsN/A

Minimum credit point requirementN/A

Assumed knowledgeN/A

Learning resources

Principles of Ethics and Corporate Governance in Financial Services

Resource TypeBook

Resource RequirementPrescribed

AuthorSteven Dellaportas, Steen Thomsen and Martin Conyon



PublisherMcGraw-Hill Australia

ISBN0071012397, 9780071012393

Chapter/article titleN/A



Other descriptionN/A

Source locationN/A

Career Ready


Work-based learningNo

Self sourced or Uni sourcedN/A

Entire subject or partial subjectN/A

Total hours/days requiredN/A

Location of WBL activity (region)N/A

WBL addtional requirementsN/A

Graduate capabilities & intended learning outcomes

Graduate Capabilities

Intended Learning Outcomes

01. Evaluate ethical principles, theories and decision-making processes.
02. Describe and analyse connections and tensions between ethics, professionalism and the corporate environment.
03. Identify and critique corporate governance principles and mechanisms.
04. Define and analyse issues surrounding the roles, functions and structures of boards of directors.
05. Interpret risk management procedures and risk management frameworks.

Subject options

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Start date between: and    Key dates

Melbourne (Bundoora), 2021, Semester 2, Day


Online enrolmentYes

Maximum enrolment sizeN/A

Subject Instance Co-ordinatorKamran Ahmed

Class requirements

LectureWeek: 31 - 43
One 2.00 hours lecture per week on weekdays during the day from week 31 to week 43 and delivered via face-to-face.

TutorialWeek: 32 - 43
One 1.00 hour tutorial per week on weekdays during the day from week 32 to week 43 and delivered via face-to-face.


Assessment elementCommentsCategoryContributionHurdle% ILO*

One Mid-semester Test (In-Class) (500-word equivalent) Individual assessment.

N/AOtherIndividualNo20 SILO1, SILO2, SILO3

One Group Assignment (1,000-word equivalent per student)

N/AAssignmentGroupNo20 SILO3, SILO4, SILO5

One 3-hour Final Examination (3,000-word equivalent) Individual assessment.

N/ACentral examIndividualNo60 SILO1, SILO2, SILO3, SILO4, SILO5