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

Part A: Course Overview

Program: C5205

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)
BAFI5144C	City Campus	TAFE	650T TAFE Business	Face-to-Face	Term1 2009, Term1 2012, Term2 2008, Term2 2009, Term2 2012

Course Contact: Michael Elliot

Course Contact Phone: 61 3 9925 5519

Course Contact Email: michael.elliot@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.

If you are undertaking this course in Melbourne from semester 2, 2012 onwards your teacher will advise you if you require access to a computer for the course. It is recommended that you have access to a mobile computing device to allow greater flexibility in terms of where you can work on campus outside class times.

Pre-requisite Courses and Assumed Knowledge and Capabilities

NONE

National Competency Codes and Titles

National Element Code & Title:	FNSFPLN501B Comply with financial planning practice ethical and operational guidelines and regulations
Elements:	1. Identify and comply with legislative and regulatory requirements
	2. Apply standards of ethical behaviour
	3. Identify and comply with industry codes of practice
	4. Identify and comply with organisational operation guidelines

Learning Outcomes

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.

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