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CO5136 - Financial Services Principles and Regulatory Frameworks

Credit points: 3
Year: 2020
Student Contribution Band: Band 3
Administered by: College of Business, Law & Governance

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.

Learning Outcomes

  • apply knowledge of regulatory frameworks,and demonstrate professional ethical conduct when providing financial advice to clients;
  • critically evaluate information for evidence-based problem solving and decision making in the application of financial services regulation;
  • analyse the responsibilities of financial advising within the context of the Australian legal framework;
  • construct and communicate a limited scope Statement of Advice (SOA) to meet client requirements in an ethical and professional manner.

Subject Assessment

  • Invigilated > End of semester exam - (60%)
  • Presentation - (15%)
  • Non-Invigilated > Assignments - (25%).


Study Period 83, External
Census Date 14-May-2020
Lecturer: <Person not found>.
Workload expectations:

The student workload for this 3 credit point subject is approximately 130 hours.

  • 39 hours online lectures
  • assessment and self-directed study
Method of Delivery: WWW - LearnJCU

Note: Minor variations might occur due to the continuous Subject quality improvement process, and in case of minor variation(s) in assessment details, the Subject Outline represents the latest official information.