COURSE DESCRIPTION

  • Access to content/material is determined by the CPD cycles as per FSCA.
  • Once courses have been purchased access to material and course will be granted until the CPD cycle ends.
  • (Cycle ends 13 May 2019 and starts back up on the 1 June 2019.)
  • Self-paced, will need to be completed before the CPD cycle ends
  • Online assessment (2 multiple choice exam attempts included.)

FIA Subscription (for FIA Members) – R 900.00

Normal Subscription (for Non-FIA Members) –  R 1 400.00

NQF Level 3 courses

NQF levels are intended to award registered learners with national accreditation based on their skills and knowledge. NQF 3 is equivalent to Grade 11 or Standard 9, and is often a stepping stone to NQF 4 and beyond.

NQF Level 4 courses

NQF levels are intended to award registered learners with national accreditation based on their skills and knowledge. NQF 4 is equivalent to Grade 12 or Standard 10 (Matric), and is a FET – Further Education and Training – category qualification.

NQF Level 5 courses

NQF levels are intended to award registered learners with national accreditation based on their skills and knowledge. NQF 5 is a National Certificate or National Diploma and is a HET – Higher Education and Training – category qualification

NQF Level 6 courses

NQF levels are intended to award registered learners with national accreditation based on their skills and knowledge. NQF 6 is a Bachelors Degree or Higher Diplomaand is a HET – Higher Education and Training – category qualification.

COURSE CONTENT

 

Unit 1 – Concepts and principles relating to business ethics

  • The philosophy and framework of ethical conduct is explained in a meaningful manner;
  • The corporate code of ethics of a corporation/ business entity is described in relation to general principles of corporate behaviour within the organisation and/ or profession.

Unit 2 – Legislation, regulations and codes relating to corporate governance and ethics

  • Analyse and explain the ethics related requirements in different legislation, regulations and codes applicable to a selected business sector with reference to the effect on business values, practices and procedures;
  • Explain the implications of triple bottom line reporting on a selected business with reference to the ethical aspects of reporting on safety, environmental, health and social responsibility.
  • Evaluate a code of conduct of any business with the generally accepted code (King III & IV) and comment on the alignment.

Unit 3 – Explain the disclosure requirements as per FAIS Code of Conduct

  • The concept of disclosure is explained as applied in a financial services sub-sector;
  • Information that is required to be disclosed is identified and an indication is given of when and why disclosure is necessary;
  • Information that is required to be disclosed is identified for a specific sub-sector;
  • Ways in which information should be disclosed are explained and an indication is given of the kind of evidence produced as part of the process;
  • Disclosures required if a policy or relationship is to be terminated or replaced are explained with examples.
  • The intermediary`s role and responsibilities during the sales process are demonstrated in two different scenarios;
  • Ways in which an intermediary may confirm the process followed during a sales interview are demonstrated for a specific sub-sector;
  • Use disclosures that are adequate to enable client’s ability to make an informed decision.

Unit 4 – Principles that underpin ethics and professionalism to a code of conduct

  • Research and explain internationally accepted principles that are the basis of a good code of conduct with reference to their relevance in a selected business environment;
  • Analyse the impact of the African value systems on codes of ethics in South Africa with reference to aspects that are unique in the South African context.
  • Explain the business case for compliance with codes and the ethical code of an organisation with reference to the role in attracting investors.

Unit 5 – Exercise professional judgement

  • Use ethical procedures in the professional environment that comply with the code of professional conduct;
  • Evaluate situations to judge the professional intervention and procedure that are most appropriate.
  • Practical situations are analysed to enable the practitioner to make professional judgements in relation to the applicable code of professional conduct;
  • Professional judgement is applied to practical situations in accordance with the applicable code of professional conduct;
  • Professional judgement is exercised in line with the organisational code of ethics.

Unit 6 – Critically evaluate the implementation of an organisation’s ethical code or value system

  • Analyse an organisation’s code of conduct in terms of the intention of the organisation as regards behaviour;
  • Explain the relationship between reputation and ethics with reference to a specific organisation
  • Conduct a gap analysis against the principles in the organisation’s code of conduct in order to identify strengths and weaknesses

Unit 7 – Develop a plan to initiate or improve commitment and compliance in the implementation of a code in an organisation

  • Use the findings of the gap analysis as a basis from which to develop a plan to initiate or improve commitment to the code of ethics in an organisation.
  • Implement measures to monitor and ensure regular revision of the code of practice that is proposed to ensure alignment.

Unit 8 – Treating Customers Fairly

  • Explain Fairness Outcomes;
  • Explain the key drivers of the TCF culture framework.
  • Demonstrate that TCF is central to your practice;
  • Illustrate the key drivers of the TCF culture framework in the practice.

Course Curriculum

No curriculum found !

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