Course Title: Comply with financial planning practice ethical and operational guidelines and regulations

Part A: Course Overview

Program: C5179

Course Title: Comply with financial planning practice ethical and operational guidelines and regulations

Portfolio: BUS

Nominal Hours: 50.0

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	Campus	Career	School	Learning Mode	Teaching Period(s)
BAFI5130C	City Campus	TAFE	650T TAFE Business	Face-to-Face or Workplace	Term1 2007, Term1 2008, Term2 2008

Course Contact: Craig Kingsley

Course Contact Phone: 61 3 9925 5456

Course Contact Email: craig.kingsley@rmit.edu.au

Course Description

The unit identifies the skills and knowledge associated with complying with ethical and operation guidelines in the preparation of a financial plan and where there is a responsibility to provide guidance to others on the application of regulatory ethical and organisational guideline requirements.
This course aims to draw together knowledge and skills acquired from earlier studies within the Diploma.

Pre-requisite Courses and Assumed Knowledge and Capabilities

NONE

National Competency Codes and Titles

National Element Code & Title:	FNSFPLN501A Comply with financial planning practice ethical and operational guidelines and regulations
Elements:	Apply standards of ethical behaviour
	Identify and comply with industry codes of practice
	Identify and comply with legislative and regulatory requirements
	Identify and comply with organisational operation guidelines

Learning Outcomes

As per the performance elements above.

Overview of Assessment

Assessment will incorporate a variety of methods including tests, a group assignment and exam.
Tests comprise multiple choice and short answer questions will assess performance element one relating to the regulatory compliance requirements.
The assignment may consist of an investigation and report on the impact of legislation on the conduct of financial advisers.
Exam will be closed book test consisting of multiple-choice questions, a case study and some short answer questions.

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.