The New Zealand Financial Services Regulatory Framework

Course code 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.

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.

How to enrol

Before enrolling in this course you need to:

  • Choose the qualification you will study the course under. See the Work towards tab below for qualification options.
  • Check the order that courses in the qualification should be studied in the Qualification Structure table. This is in the Choose courses tab on the qualification page.
  • Level 4  
    Credits 15 
  • Study type Open  
    EFTS 0.125  
  • Availability
    2018 :  
    This course will start on the first Monday of the month you select for enrolment.
  • Delivery type
    2018 :  
    Online only
  • Workload

    All our open courses have a credit value. For each credit, allow about 10 hours of study. Your workload may be higher around assessment due dates.

  • Fees
    2018 :  
    NZ students $548 + $60 annual administration fee
    International students $1,647 + $60 annual administration fee
  • Prerequisites Check entry and other requirements under the qualification you are studying  

What you need to know about this course

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’.


This course is 100% internally assessed.


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.