Professionalism: Conduct & Ethics

What will you learn?

The course equips individuals to:

• apply ethical theories to a scenario and appraise the different conclusions arising from each
• analyse a range of difficult workplace ethical issues and determine a course of action using the AFMA ethical Decision-Making Framework
• evaluate the situational and psychological barriers to ethical decision making and actions when you encounter values conflict in the workplace
• apply codes of conduct, including the AFMA Code of Conduct, when making decisions in ‘grey’ areas where there is no clear law or rule, or where values appear to be in conflict
• identify the components of the ethical dilemma, including the reasons and rationalisations to be addressed and what is at stake for all parties
• formulate strategies and processes for responding to situational and psychological barriers to ethical decision making in the workplace
• determine a course of action, including steps to take, people to talk to, and what the reaction may be and how to respond
• apply communication and interpersonal skills when acting on a decision based on ethical principles
• identify individuals and/or resources that may provide advice and guidance on ethical dilemmas if required
• critically reflect on own actions and values to enhance personal ethics and capacity for good professional judgment.

how will you learn?

You will learn in an interactive online environment, incorporating online lessons, quizzes, and activities. Further detail can be found in the module outline.

how will you be assessed?

There are two types of assessment in this module. To successfully complete the module you will need to:

• complete a series of assessable online activities
• prepare one skills assessment demonstrating mastery of the requisite competencies.

ABOUT THE FACILITATORS

Mark McCarthy, Director of Markets, AFMA

Mark McCarthy is a Director of Markets at AFMA and is responsible for managing various technical market and policy committees to promote market efficiency through conventions, standards, documentation and market practices and addressing the regulatory and market issues that arise in these sectors. 

Prior to joining AFMA, Mark had twenty five years’ experience as a dealer and investment banker, trading and managing risk in foreign exchange, precious metals, interest rates and debt and credit markets. He has also worked as an international money broker and as an originator in debt capital markets and complemented this practical experience with a Master’s degree in Applied Finance and a MBA.  

Peter Pontikis, Consultant, Technical Analysis Consulting

Peter Pontikis has over 30 years experience in investment, wealth management and financial markets. A fellow of CPA Australia, he is on their risk management academic advisory committee and also is a senior fellow of FINSIA where he served on their national policy advisory council as well as its financial markets committee. He recently retired as director of the International Federation of Technical Analysts (IFTA) after serving on the board for 9 years.

Andrew De Souza, Consultant, North Shore Business Coaching

Andrew has worked in financial markets for 22 years, mainly in the FX and STIRT markets where he managed desks at Citigroup and JPMorgan. Over the last 3 years he has worked as a workplace training/facilitator.

Richard Walker, Consultant, Luxford Partners

Having started in the industry in 1987, Richard spent many years trading equities and equity derivatives as principal, issuing structured products and growing businesses in a controlled and profitable manner. Institutions where this experience was gained include UBS,  Commonwealth Bank, and National Australia Bank, while previous roles held include Managing Director, Global Head of Equities, and Head of Risk. 

Complementing his strong theoretical knowledge base, Richard's diverse background allows him to incorporate relevant real life examples into his training, which participants rate as one of the highlights of his program delivery.