Students

AFIN8081 – Professional Conduct and Governance in Banking and Finance

2025 – Session 1, In person-scheduled-weekday, North Ryde

General Information

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Unit convenor and teaching staff Unit convenor and teaching staff
Damian Bridge
damian.bridge@mq.edu.au
Di Bu
di.bu@mq.edu.au
Credit points Credit points
10
Prerequisites Prerequisites
Admission to MFin or (admission to MBkgFin and (30cp at 6000 level) or (10cp at 8000 level))
Corequisites Corequisites
Co-badged status Co-badged status
Unit description Unit description

This unit explores the complex ethical and regulatory landscape of the banking and finance industry, focusing on the principles and practices underpinning professional conduct and governance. Students will engage with key topics such as ethics, ethical decision-making processes, corporate culture and corporate governance. The curriculum integrates industry-specific codes such as the AFMA Code of Conduct, APRA’s risk management code and guide, and CFA Institute's ethical guidelines to provide a practical framework for understanding and navigating ethical dilemmas in professional settings. The unit also examines issues related to the challenges and expectations faced by finance professionals today. This unit will prepare students to act with integrity and accountability, fostering a culture of ethical professionalism in their future careers.

Important Academic Dates

Information about important academic dates including deadlines for withdrawing from units are available at https://www.mq.edu.au/study/calendar-of-dates

Learning Outcomes

On successful completion of this unit, you will be able to:

  • ULO1: Reflect on contemporary ethical issues and on the theories and principles/standards that are applied to address them within the banking and finance sectors.
  • ULO2: Navigate and address contemporary ethical issues in the workplace with an informed and principled approach as an individual and group.
  • ULO3: Assess and manage risks in banking operations, ensuring compliance with common ethical standards and frameworks as an individual and group.
  • ULO4: Assess the impact of corporate culture and social responsibility on ethical behaviour within organisations as an individual and group.

General Assessment Information

Late Assessment Submission Penalty (written assessments) 

Unless a Special Consideration request has been submitted and approved, a 5% penalty (of the total possible mark) will be applied each day a written assessment is not submitted, up until the 7th day (including weekends). After the 7th day, a grade of ‘0’ will be awarded even if the assessment is submitted. Submission time for all written assessments is set at 11.55pm. A 1-hour grace period is provided to students who experience a technical concern.  

For any late submissions of time-sensitive tasks, such as scheduled tests/exams, performance assessments/presentations, and/or scheduled practical assessments/labs, students need to submit an application for Special Consideration.

 

Assessment Tasks

Name Weighting Hurdle Due
Skills development: Professional conduct and governance 30% No Week 11
Professional practice: Frameworks and Concepts 30% No Week 9
Skills development: Conduct & governance in practice 40% No Week 13

Skills development: Professional conduct and governance

Assessment Type 1: Portfolio
Indicative Time on Task 2: 20 hours
Due: Week 11
Weighting: 30%

 

The purpose of this assessment is for you to consistently build your expertise in professional conduct and governance throughout the unit.

You will consolidate and evaluate your learning throughout the session via a structured approach.

Skills in focus: - Critical thinking - Communication skills - Ethical thinking - Self reflection

Deliverable: Written submission Individual assessment

 
On successful completion you will be able to:
  • Reflect on contemporary ethical issues and on the theories and principles/standards that are applied to address them within the banking and finance sectors.
  • Navigate and address contemporary ethical issues in the workplace with an informed and principled approach as an individual and group.
  • Assess the impact of corporate culture and social responsibility on ethical behaviour within organisations as an individual and group.

Professional practice: Frameworks and Concepts

Assessment Type 1: Project
Indicative Time on Task 2: 20 hours
Due: Week 9
Weighting: 30%

 

The purpose of this assessment is for you to gain expertise in applications in professional conduct and governance in banking and finance.

Students will apply frameworks and concepts discussed in the unit to a case study.

Skills in focus: - Collaboration skills - Communication skills - Critical thinking

Deliverable: Presentation Group assessment

 
On successful completion you will be able to:
  • Navigate and address contemporary ethical issues in the workplace with an informed and principled approach as an individual and group.
  • Assess and manage risks in banking operations, ensuring compliance with common ethical standards and frameworks as an individual and group.
  • Assess the impact of corporate culture and social responsibility on ethical behaviour within organisations as an individual and group.

Skills development: Conduct & governance in practice

Assessment Type 1: Reflective Writing
Indicative Time on Task 2: 30 hours
Due: Week 13
Weighting: 40%

 

The purpose of this assessment is for you to critically reflect on your learning throughout the session.

You will reflect on both the content and application of the activities completed and knowledge gained throughout the session.

Skills in focus: - Communication skills - Critical thinking - Ethical thinking - Self reflection

Deliverable: Written submission Individual assessment

 
On successful completion you will be able to:
  • Reflect on contemporary ethical issues and on the theories and principles/standards that are applied to address them within the banking and finance sectors.
  • Navigate and address contemporary ethical issues in the workplace with an informed and principled approach as an individual and group.
  • Assess the impact of corporate culture and social responsibility on ethical behaviour within organisations as an individual and group.

1 If you need help with your assignment, please contact:

  • the academic teaching staff in your unit for guidance in understanding or completing this type of assessment
  • the Writing Centre for academic skills support.

2 Indicative time-on-task is an estimate of the time required for completion of the assessment task and is subject to individual variation

Delivery and Resources

Delivery and Resources

Required Text

Materials will be provided on iLearn.

Unit Web Page

You are required to access a device (e.g. computer) and the internet at various times in completing this unit, download course material available on the learning management system (iLearn), and to complete assessment tasks.

Delivery Format and Other Details

Classes and teams

This Unit uses a team-based learning approach. This approach requires that you prepare for class. Pre-class activities may take six hours or more before the stated deadline for completion - typically before classes of the week - and are essential preparation for your contributions to the class.

Classes are typically between two and three hours in duration. Attendance at your enrolled class is compulsory. Team participation in activities is an essential part of the learning process. You should ensure that you are able to commit and attend your assigned class as much of the learning comes from in-class activities that cannot be addressed via ECHO video recordings (even where they are available). The Lecturer has the discretion to adjust the mark allocated to each team member where the Lecturer determines the participation of team members is not equal. Non-participation may mean a mark of zero.

The timetable for classes can be found on the University web site at: http://www.timetables.mq.edu.au/

We recognise that there will be a mix of prior work experience. Lecturers will suggest services offered for those seeking support in areas not covered in this unit such as resumes and job interview skills.

Inherent requirements

Inherent requirements are the essential components of a course or program necessary for a student to successfully achieve the core learning outcomes of a course or program. Students must meet the inherent requirements to

complete their Macquarie University course or program. For more information see https://students.mq.edu.au/study/my-st udy-program/inherent-requirements.

The content of this unit guide provides specific requirements such as attending classes with a suitable device and working in small groups.

Policies and Procedures

Macquarie University policies and procedures are accessible from Policy Central (https://policies.mq.edu.au). Students should be aware of the following policies in particular with regard to Learning and Teaching:

Students seeking more policy resources can visit Student Policies (https://students.mq.edu.au/support/study/policies). It is your one-stop-shop for the key policies you need to know about throughout your undergraduate student journey.

To find other policies relating to Teaching and Learning, visit Policy Central (https://policies.mq.edu.au) and use the search tool.

Student Code of Conduct

Macquarie University students have a responsibility to be familiar with the Student Code of Conduct: https://students.mq.edu.au/admin/other-resources/student-conduct

Results

Results published on platform other than eStudent, (eg. iLearn, Coursera etc.) or released directly by your Unit Convenor, are not confirmed as they are subject to final approval by the University. Once approved, final results will be sent to your student email address and will be made available in eStudent. For more information visit connect.mq.edu.au or if you are a Global MBA student contact globalmba.support@mq.edu.au

Academic Integrity

At Macquarie, we believe academic integrity – honesty, respect, trust, responsibility, fairness and courage – is at the core of learning, teaching and research. We recognise that meeting the expectations required to complete your assessments can be challenging. So, we offer you a range of resources and services to help you reach your potential, including free online writing and maths support, academic skills development and wellbeing consultations.

Student Support

Macquarie University provides a range of support services for students. For details, visit http://students.mq.edu.au/support/

Academic Success

Academic Success provides resources to develop your English language proficiency, academic writing, and communication skills.

The Library provides online and face to face support to help you find and use relevant information resources. 

Student Services and Support

Macquarie University offers a range of Student Support Services including:

Student Enquiries

Got a question? Ask us via the Service Connect Portal, or contact Service Connect.

IT Help

For help with University computer systems and technology, visit http://www.mq.edu.au/about_us/offices_and_units/information_technology/help/. 

When using the University's IT, you must adhere to the Acceptable Use of IT Resources Policy. The policy applies to all who connect to the MQ network including students.

Unit information based on version 2025.05 of the Handbook