Course Title: Provide advice in Securities

Part A: Course Overview

Program: C5317

Course Title: Provide advice in Securities

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




Learning Mode

Teaching Period(s)


City Campus


650T Vocational Business Education

Distance / Correspondence or Face-to-Face or Internet

Term1 2013,
Term1 2014,
Term2 2014,
Term1 2015,
Term2 2015

Course Contact: Sam Tabit

Course Contact Phone: +61 3 99254166

Course Contact Email:

Course Description

 This unit describes the performance outcomes, skills and knowledge required to satisfy the training requirements of current Australian Securities and Investments Commission (ASIC) Australian Financial Services (AFS) licensing at Tier 1 level in the Securities specialist area.

Pre-requisite Courses and Assumed Knowledge and Capabilities

Pre-requisites to this course:

FNSFMK502A  - Analyse financial market products for client

FNSFMK503A  - Advise clients on financial risk

FNSCUS505A - Determine client requirements and expectations

FNSCUS506A - Record and implement client instructions

There are no co-requisites to this course.

National Competency Codes and Titles

National Element Code & Title:

FNSASICW503A Provide advice in Securities


1. Establish relationship with client and identify client's objectives, needs and financial situation

2. Analyse client's objectives, needs, financial situation and risk profile to develop appropriate strategies and solutions

3. Present appropriate strategies and solutions to client and negotiate a financial, plan, policy or transaction

4. Agree the plan, policy or transaction and complete documentation

5. Provide ongoing service where requested by client

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 their progress.