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Apply Today Course Guide
Online unit

Elements of Financial Planning and Regulation

Overview of the unit

About this unit

This unit provides an insight to the elements of the financial planning profession. Students will learn about the necessary acumen of analysing economic factors and their impact on individuals’ financial plans. This unit also examines the regulatory environment and contemporary issues within the financial planning industry and underpinning elements of an adviser’s professional capacity and conduct. Financial planning strategies, processes and related due diligence will be investigated in this unit. Additionally, students will be introduced to financial planning technologies and ethical principles.

Content

  • Economic environment
  • Overview of financial planning industry
  • Financial advice regulatory and legal obligation
  • Financial advice process
  • Scopes and strategies to generate advice
  • Construction and presentation of strategic Statement of Advice
  • Use of technology in Financial Planning
  • Client engagement and necessary elements for a contemporary professional.

This unit is found in the Graduate Certificate of Financial Planning and the Graduate Diploma of Financial Planning.

View further information on this unit.