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Elements of Financial Planning and Regulation

Duration: 1 Teaching Period

Unit Code: FIN60010

Contact Hours: Recommended 12 hours of study per week

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

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