Legislation and Regulatory Guide - Accounting and Finance Assignment Help

Assignment Task

Q1.Resource and reflection – Legislation:

Provide details of an industry-relevant piece of legislation (Act and/or Regulations). Identify sections that relate to ethical issues, decision making and conduct, and reflect on your observations about how these matters are discussed in the legislation and how they impact your work. (2 marks)

Q2. Resource and reflection – Regulatory Guide:

Provide details of an industry-relevant ASIC Regulatory Guide or APRA Prudential Standard. Identify sections that relate to ethical issues, decision making and conduct, and reflect on your observations about how these matters are discussed in the regulatory guide and how they impact your work. (2 marks)

Q3. Financial services is heavily regulated in Australia and globally. However, while special rules are in place for some financial products and services, laws and regulation are generally principles-based. Why do you think that is the case (or otherwise)? (1 mark)

Q4. What do you think are the advantages and disadvantages of a principles-based approach to regulation? In your response, discuss both the level of guidance regulation provides and its limitations in helping professionals overcome biases and barriers to ethical decision making. (2 marks)

Q5. How does your practice or organisation claim its social license and disclose its corporate ethics? What values and or expectations about its professional standards do these disclosures project to customers and other stakeholders? (2 marks)

Q6. Discuss recognition measures, rewards and incentives at your organisation that:

· Encourage ethical decision making?

· Potentially discourage or do not support and guide ethical decision making. How could they be improved? (2 marks)

Q7. Based on previous and current workplaces and personal experiences, provide an example of when you have encountered each of the following and discuss how you/your organisation overcame them:

· Cognitive bias (name which one you are referencing in your description)

· Ethical blindness

· Groupthink

· Rationalisation

· Ethical fading (3 marks)

Q8. Resource and reflection – Industry code:

Provide details of an industry-relevant Code of Practice, Code of Conduct, or set of professional standards. Identify sections that relate to ethical issues, decision making and conduct, and reflect on your observations about how these matters are discussed in the code or standards and how they impact your work (2 marks)

Q9. Resource and reflection – Company artefact:

Provide details of your company values (or equivalent) or an organisational policy. Identify sections that relate to ethical issues, decision making and conduct, and reflect on your observations about how these matters are discussed in this internal document and how they impact your work

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