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.
For each credit, allow about 10 hours of study.
Cost2019NZ 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
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’.
This course is 100% internally assessed.
No textbooks are required for this course.
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: