Course Title: Determine client requirements and expectations

Part A: Course Overview

Program: C5179

Course Title: Determine client requirements and expectations

Portfolio: BUS

Nominal Hours: 70.0

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 TAFE Business

Face-to-Face or Workplace

Term1 2007,
Term1 2008,
Term2 2008

Course Contact: Clem Simonetto

Course Contact Phone: 61 3 9925 5426

Course Contact Email:

Course Description

This unit describes the function of determining a client’s financial requirements and expectations in regard to financial investment products. It will focus on the client service elements throughout the lifecycle of a financial plan. That is from the first meeting with the client to establish goals and needs, right through to the review stage.

Pre-requisite Courses and Assumed Knowledge and Capabilities


National Competency Codes and Titles

National Element Code & Title:

FNSICCUS506A Determine client requirements and expectations


Determine client expectations and requirements with respect to financial markets advice

Develop an awareness of the client's situation

Obtain relevant knowledge of client's financial position and risk profile

Prepare and update necessary documentation where required

Learning Outcomes

As per the performance elements above.

Overview of Assessment

Assessment will incorporate a variety of methods including tests, individual and group assignments.
Class tests will consisting of multiple choice questions, case studies and short answer questions. The group assignment will requires students to research a financial product (s) and relate that product to needs and expectations of a client and that client’s risk profile. It will be based on a client case study.

You will receive ongoing feedback on your progress in the course. Feedback on assessment will be given in a timely manner. You will be informed about how to improve your performance in the competency/course and what you need to do to be deemed competent or to gain a pass in the assessment.