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Principles of Financial Planning

duration Duration: 1 Teaching Period

unit code Unit Code: FIN10003

contact hours Contact Hours: Recommended 10 hours of study per week

About this unit

The aim of this unit of study is to provide an overview on the financial planning industry. Students will learn about the background and purpose of financial planning legislations and the relevant code of conduct in this profession together with the financial advice process and the steps involved in construction and communication of a Statement of Advice. This unit also examines the management of financial planning practices and prepares students to develop a Statement of Advice based on the unique characteristics and requirements of clients. Students will also learn about techniques to effectively engage and communicate with potential clients.


  • Overview of financial planning industry
  • Relevant legislations and code ethics and conducts in the financial planning industry
  • Financial advice process
  • Gathering client data and determining needs and goals
  • Construction and presentation of Statement of Advice (SoA)
  • Financial planning practice management.

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