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

Part A: Course Overview

Program: C5317

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)
BAFI5193C	City Campus	TAFE	650T Vocational Business Education	Distance / Correspondence or Face-to-Face or Internet	Term1 2013, Term1 2014, Term2 2014, Term1 2015, Term2 2015

Course Contact: Michael Elliot

Course Contact Phone: +61 3 9925 5519

Course Contact Email: michael.elliot@rmit.edu.au

Course Description

This unit describes the performance outcomes, skills and knowledge required to comply with ethical and operation guidelines in one’s own work.
It does not include responsibility to provide guidance to others on the application of regulatory ethical and organisational guideline requirements.
This unit is applicable to individuals working within enterprises and job roles subject to licensing, legislative, regulatory or certification requirements including legislation administered by the Australian Securities and Investments Commission (ASIC).

 

Pre-requisite Courses and Assumed Knowledge and Capabilities

None

National Competency Codes and Titles

National Element Code & Title:	FNSFPL501A 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 organisational operation guidelines.

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