This subject will review the legal and regulatory frameworks applicable to financial services in Australia. The subject also examines professional conduct and ethical considerations in relation to the provision of financial advice in a regulatory and legal context. Students will enhance cognitive skills to evaluate and use evidence based professional judgement in problem solving when providing financial advice to clients and in the development and presentation of financial plans.

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CO5136 - Financial Services Principles and Regulatory Frameworks

Financial Services Principles and Regulatory Frameworks

Apply knowledge of regulatory frameworks,and demonstrate professional ethical conduct when providing financial advice to clients

Construct and communicate a limited scope Statement of Advice (SOA) to meet client requirements in an ethical and professional manner

Analyse the responsibilities of financial advising within the context of the Australian legal framework

Critically evaluate information for evidence-based problem solving and decision making in the application of financial services regulation