Assignment: Ethics and Professionalism in Financial Advice (FPC002B)

Ethics and Professionalism in Financial
Advice
(FPC002B)
Assignment
Assignment marks: 95 | Presentation and referencing marks: 5
(Total marks: 100 | Word limit: 4,300 words)
Student No.: [Enter your Student No.]
I have read the Assessment Preparation Guide in the ‘General assessment information’
and have applied the word count principles to my work.
My word count for this
assignment is:
[Enter your word count]
words
Your assignment should be loaded into KapLearn by 11.30 pm on the due
date.
All times are based on AEDT/AEST time zones.
Refer to ‘Time remaining’ on the ‘Assignment’ page in KapLearn to ensure
you submit your assignment by the specified due date and time.
Checklist
 I have completed my assignment using Word.
 I have completed my assignment using Calibri, Arial, Times New Roman or
Verdana fonts.
 I have added my Student No. on this page.
 I have added my word count on this page.
 I have added my Student No. in front of the filename in the footer on the second
page.
 I have saved the file to be uploaded as StudentNo_FPC002B_AS_v3.
 Each question of my assignment is within the word limit guidelines for that
question as per the ‘General assessment information’ (Assessment  Assignment
 General assessment information).

 My assignment file size is no larger than 2 MB.
 If tables were required, they are visible as text, not as links or images.
 I have not removed the marking grid from the footer.
 I have submitted my assignment as per the instructions in KapLearn.
For office use only
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StudentNo_FPC002B_AS_v3 2 © Kaplan Higher Education

Marker feedback
Comment on overall performance:
For marker use only.
For office use only
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StudentNo_FPC002B_AS_v3 3 © Kaplan Higher Education

Instructions to students
• This assignment covers Topics 1 to 7 and accounts for 40% of your final grade.
• In this assignment there are four (4) questions worth a total of 95 marks, and
5 marks for presentation and correct use of the Harvard referencing style (total:
100 marks). You should answer
all questions.
• The overall word limit for the assignment is 4,300 words. Marks will only be
awarded for answers up to the word limit (plus 10%) for each question.
Any material written after this will not be counted towards your mark for that
question. Headings, quotes and references within the body of the answer are
included in the word count. Numerical tables, calculations, and reference lists are
not included. For more information on word counts and their rationale, go to
Assessment  Assignment  General assessment information.
• Refer to the Criteria-based Marking Guide for guidelines on what is expected for
each question.
• The ‘General assessment information’ section in KapLearn contains information
about format and presentation, word limits, citations and referencing, collusion,
plagiarism and other policies, useful resources, submitting your assignment and
accessing your results.
• Answers are to be in your own words. Reference and cite all your sources (within
the text of your answer) when quoting or using material from external sources.
Include a reference list at the end of your assignment. For further information on
referencing, refer to the ‘Referencing Guide’ available under the
Additional resources from the Library ‘Learning Hub’.
• Marks will be awarded for research effort as well as quality of presentation and
referencing.
• Weightings are noted beside each question. Use these weightings to assist you with
your allocation of time and resources. The weightings indicate the relative
importance of each question.
• State
all assumptions used in providing your answer.
• Requests for special consideration or information pertaining to special consideration
written in the body of the assignment will not be considered by the marker. Refer to
the ‘special consideration’ section of the Assessment Policy on Kaplan’s website for
more information.
For office use only
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Max 6 6 3 10 3 3 4 4 10 6 8 4 8 10 10 5
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StudentNo_FPC002B_AS_v3 4 © Kaplan Higher Education

Learning outcomes (LO) mapping Marks
1. Explain the role of ethical frameworks and professional standards within
the financial planning profession. 25
2. Assess the impacts of cognitive, judgement and decision biases on
financial advisers and their clients. 20
3. Demonstrate an understanding of professional obligations and conduct
required by the values and standards of the FASEA Code of Ethics. 25
4. Identify and solve ethical dilemmas encountered as a financial adviser
through application of ethical frameworks and professional standards. 25
Presentation and referencing style. 5
Total marks 0
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StudentNo_FPC002B_AS_v3 5 © Kaplan Higher Education

Assignment presentation and referencing (5 marks)
You are required to research beyond the subject notes in answering the questions in
this assignment. Reference and cite all your sources when quoting or using material
from external sources. Include a reference list at the end of your assignment.
You are required to:
• use appropriate presentation and format for your assignment
• demonstrate appropriate use of relevant references
• follow the Harvard referencing style as recommended in the ‘Referencing and
Citations Guide’ available from the Library ‘Learning Hub’ in KapLearn
• include in-text citation in each question and a reference list at the end of your
assignment following the recommended referencing style
• adhere with the assignment word limit.
Criteria-based Marking Guide for presentation and referencing
The Criteria-based Marking Guide provided at the end of each question is designed to
assist students to understand what is expected of them in each question and to let
them know how their performance will be judged. It provides advice about the criteria
used in the marking of the question and what discriminates between an excellent,
satisfactory and unsatisfactory answer.
Excellent (Mark range: 4–5
marks)
Satisfactory (Mark range: 2.5–
3.5 marks)
Unsatisfactory (Mark range: 0–
2 marks)
• clear and appropriate
assignment layout and
structure
• adheres to assignment and
question word limits
• appropriate use of referencing
• accurate use of Harvard
referencing style
• in-text citation in each question
and a comprehensive reference
list provided at end of
assignment
• adequate assignment layout
and structure
• adheres to assignment and
question word limits
• appropriate use of referencing
• use of Harvard referencing style
• in-text citation in each question
and a reference list provided at
end of assignment
• poor assignment layout and/or
structure
• assignment is significantly under
or over the word limit
• no use of references
• referencing does not use Harvard
referencing style
• no or inadequate in-text citation
and a reference list provided at
end of assignment
For office use only
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Presenta
tion and
referenci
ng
TOT
AL
Max 6 6 3 10 3 3 4 4 10 6 8 4 8 10 10 5
**
Expr
essi
on is
fault
y **
Awarde
d
**
Expr
essio
n is
fault
y **
StudentNo_FPC002B_AS_v3 6 © Kaplan Higher Education