Course Title: Apply principles of professional practice to work in the financial services industry

Part A: Course Overview

Program: C4342

Course Title: Apply principles of professional practice to work in the financial services industry

Portfolio: BUS

Nominal Hours: 30.0

Regardless of the mode of delivery, represent a guide to the relative teaching time and student effort required to successfully achieve a particular competency/module. This may include not only scheduled classes or workplace visits but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.

Course Code




Learning Mode

Teaching Period(s)


City Campus


650T Vocational Business Education

Distance / Correspondence or Face-to-Face or Internet or Workplace

Term1 2014,
Term2 2014,
Term1 2015,
Term2 2015

Course Contact: Doug Gourlay

Course Contact Phone: +61 3 9925-5944

Course Contact Email:

Course Description

This unit describes the performance outcomes, skills and knowledge required to identify industry professional approaches to procedures, guidelines, policies and standards, including ethical requirements and model and meet expectations of these in all aspects of work.

This unit has application to a variety of financial services sectors and is applicable to individuals working within enterprises and job roles subject to licensing, legislative, regulatory or certification requirements so the varying Commonwealth, State or Territory requirements should be confirmed with the relevant body.

Pre-requisite Courses and Assumed Knowledge and Capabilities


National Competency Codes and Titles

National Element Code & Title:

FNSINC401A Apply principles of professional practice to work in the financial services industry


1. Identify the scope, sectors and responsibilities of the industry

2. Identify and apply financial services industry guidelines, procedures and legislation

3. Identify sustainability issues for the financial services industry

4. Manage information

5. Participate in and facilitate work team activities

6. Plan work to be completed taking into consideration time, resources and other constraints

7. Develop and maintain personal competency

Learning Outcomes

Overview of Assessment

Assessment may incorporate a variety of methods including technical requirements documentation, homework, assignments, group and/or individual projects, in class exercises, written and practical tests, problem solving exercises, presentations, direct observation of actual and simulated work practice, presentation of a portfolio of evidence which may comprise documents, and/or photographs and/or video and audio files, review of products produced through work-based or course activities.

You are advised that you are likely to be asked to personally demonstrate your assessment work to your teacher to ensure that the relevant competency standards are being met.  You will be provided with feedback throughout the course to check your progress.