Course Title: Record and implement client instructions

Part A: Course Overview

Program: C5343 Diploma of Financial Planning

Course Title: Record and implement client instructions

Portfolio: BUS Portfolio Office

Nominal Hours: 75

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

Face-to-Face or Internet

Term1 2016,
Term2 2016,
Term1 2017,
Term2 2017,
Term1 2018,
Term2 2018,
Term1 2019,
Term2 2019

Course Contact: Callie Harvey

Course Contact Phone: +61 3 9925 5772

Course Contact Email:

Course Description

This unit describes the skills and knowledge required to accurately record and implement instructions regarding financial investments from a range of clients including direct, shareholder, member, organisation, stockbroker, trustee, agent and intermediary, and provide appropriate after sales service.

It applies to individuals who may provide leadership and responsibility for their own and others’ work outcomes.          

Pre-requisite Courses and Assumed Knowledge and Capabilities


National Competency Codes and Titles

National Element Code & Title:

FNSCUS506 Record and implement client instructions


1. Execute instructions to satisfy client requirements

2. Review and monitor implementation of client instructions

3. Provide additional/after sales service

Learning Outcomes

Overview of Assessment

In order to achieve competency in this unit, you must provide:

Performance Evidence

Evidence of the ability to:

  • record and implement client instructions accurately in accordance with organisational, industry and legislative requirements
  • monitor and review implemented strategies against client instructions
  • provide after sales or additional service.

Knowledge Evidence

To complete the unit requirements safely and effectively, you must:

  • explain the terms and conditions of financial product services offered by the organisation
  • explain the application of general sales and marketing techniques to provision of after sales service
  • describe key requirements of organisational policy and procedures relating to documenting client instructions
  • describe fraud detection and prevention procedures and practices relevant to implementing client instructions
  • describe the relevant financial association’s business rules
  • describe key requirements of relevant financial services industry legislation and codes of practice
  • describe the relevance of the following to reviewing and monitoring client instructions:
    • key characteristics of local and international financial markets and investments
    • current economic climate and outlook to the financial services industry
    • influence of tax factors on financial services clients.

Assessment Conditions

Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the customer service field of work and include access to:

  • common office equipment, technology, software and consumables
  • financial services product information 
  • client information system and data. 

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.


Feedback will be provided throughout the semester in class and/or online discussions. You are encouraged to ask and answer questions during class time and online sessions so that you can obtain feedback on your understanding of the concepts and issues being discussed. Finally, you can email or arrange an appointment with your teacher to gain more feedback on your progress.

You should take note of all feedback received and use this information to improve your learning outcomes and final performance in the course.