Financial Planning Principles and Regulation

Unit Code: AYQ457

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Unit Description

For financial planners and advisors, as well as those working in conjunction with the financial planning industry, it is vital to possess the foundational knowledge of the regulations that govern financial services in Australia.

This unit introduces students to the key provisions of the law and regulations relating to corporate securities and financial services – essential knowledge not only for financial planners and advisors, but also accountants, auditors, business analysts and stockbrokers.

Students will have the opportunity to apply knowledge of the financial planning regulatory environment to real-world financial planning issues and problems within various contexts, demonstrating advanced problem-solving and decision-making skills.

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