The New Zealand Financial Services Regulatory Framework

FSC411

This online course is designed for individuals who wish to enter or progress employment within the financial services industry and/or advance their skills and knowledge.

  •  
    Level
    4
  •  
    Credits
    15
  •  
    EFTs
    0.125
  • Delivery type
    2019
    Online only
  • Workload

    For each credit, allow about 10 hours of study.

  • Cost
    2019
    NZ students $548 + $60 annual administration fee
    International students $1,647 + $60 annual administration fee
  • Intakes
    2019
    This course will start on the first Monday of the month you select for enrolment.
  •  
    Prerequisites Check entry and other requirements under the qualification you are studying

It provides you with an overview of the regulatory framework impacting on entry or intermediate roles within the financial services industry.

It enables you to outline legislation, regulations, ethics, risk and compliance and apply under broad organisational guidelines.

Students who successfully complete this online course will be able to

  • Outline financial services industry codes of practice, legislation, and regulations – including complaint handling.
  • Apply codes of practice, legislation, and regulations to a range of standard situations.
  • Apply principles of professionalism when providing financial services.
  • Outline the ISO 22222 ‘Six Step Process for personal financial advice’.

Assessment

This course is 100% internally assessed.

Textbooks

No textbooks are required for this course.

Other requirements

Your course is delivered 100% online. To complete this course you will need access to a computer or device, broadband internet and a data plan able to support online learning such as streaming of videos (including YouTube), downloading content and submitting online assessments. If you are unsure if your current computer/device or internet access allows you to complete your online learning with us, please contact us before applying to enrol. 

How to enrol

Before enrolling in this course you need to:

  • choose the qualification you will study the course under
  • check the order that courses in the qualification should be studied in the Qualification Structure table. This is in the Choose courses and apply tab on the qualification page.

You can do this course as part of these qualifications:

Certificate
  •  
    Level
    4
  •  
    Credits
    15
  •  
    EFTs
    0.125
  • Delivery type
    2019
    Online only
  • Workload

    For each credit, allow about 10 hours of study.

  • Cost
    2019
    NZ students $548 + $60 annual administration fee
    International students $1,647 + $60 annual administration fee
  • Intakes
    2019
    This course will start on the first Monday of the month you select for enrolment.
  •  
    Prerequisites Check entry and other requirements under the qualification you are studying