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LocationDomesticInternational
Gold Coast
Online

Unit description

Introduces students to key financial planning concepts and issues including an overview of the Australian financial advice industry, financial planning functions, processes and areas, regulatory and legal framework, code of ethics, client-adviser relationship, and Statement of Advice (SOA). Students will develop professional skills by engaging in teacher directed activities and experiences relevant to responsible financial planning and the construction and presentation of a limited scope SOA.  

Unit content

Topic 1a: Financial Planning

Topic 1b: Financial Planning Functions and Processes

Topic 2a: Financial Planning Areas: An Overview

Topic 2b: The Regulatory and Legal Framework I

Topic 3a: The Regulatory and Legal Framework II

Topic 3b: Ethical and Professional Conduct: An Introduction

Topic 4a: The Client-Adviser Relationship

Topic 4b: Client Data, Risk Profiling, Needs and Objectives

Topic 5a: The Statement of Advice (SOA)

Topic 5b: Financial Plan Development and Presentation

Topic 6a: Financial Plan Recommendations and Implementation

Topic 6b: Financial Monitoring and Review

 

 

Learning outcomes

Unit Learning Outcomes express learning achievement in terms of what a student should know, understand and be able to do on completion of a unit. These outcomes are aligned with the graduate attributes. The unit learning outcomes and graduate attributes are also the basis of evaluating prior learning.

On completion of this unit, students should be able to:
1describe and critically appraise the role (including advisory functions/processes/scopes) of a financial adviser
2outline and explain the regulatory framework which financial advisers operate within and their legal, social, and ethical responsibilities
3demonstrate the importance of the best interests duty, financial adviser-client relationship and effective communication in delivering advice
4construct and present a limited scope Statement of Advice (SOA).

On completion of this unit, students should be able to:

  1. describe and critically appraise the role (including advisory functions/processes/scopes) of a financial adviser
  2. outline and explain the regulatory framework which financial advisers operate within and their legal, social, and ethical responsibilities
  3. demonstrate the importance of the best interests duty, financial adviser-client relationship and effective communication in delivering advice
  4. construct and present a limited scope Statement of Advice (SOA).

Prescribed texts

  • No prescribed texts.
Prescribed texts may change in future teaching periods.

Teaching and assessment

Notice

Intensive offerings may or may not be scheduled in every teaching period. Please refer to the timetable for further details.

Southern Cross University employs different teaching methods within units to provide students with the flexibility to choose the mode of learning that best suits them. SCU academics strive to use the latest approaches and, as a result, the learning modes and materials may change. The most current information regarding a unit will be provided to enrolled students at the beginning of the teaching period.

Fee information

Domestic

Commonwealth Supported courses
For information regarding Student Contribution Amounts please visit the Student Contribution Amounts.

Fee paying courses
For postgraduate or undergraduate full fee paying courses please check Domestic Postgraduate Fees OR Domestic Undergraduate Fees

International

Please check the international course and fee list to determine the relevant fees.

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