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
  • Teaching weeks 32 weeks
  • Workload Approximately 5 hours per week
  •  
    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.

Computer and internet requirements

To complete this course you will need access to a laptop or desktop computer, reliable broadband internet connection and a data plan able to support online learning such as streaming of videos (including YouTube), downloading content, and writing and submitting online assessments. If you are unsure if your current computer 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.

Work towards

Course availability over the next 12 months

Dec
2023
Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
  •  
    Level
    4
  •  
    Credits
    15
  •  
    EFTS
    0.125
  • Teaching weeks 32 weeks
  • Workload Approximately 5 hours per week
  •  
    Prerequisites Check entry and other requirements under the qualification you are studying