The Legislative Framework for Authorised Financial Advisers

FSC516

This online course is designed for individuals who are working in or wish to enter the financial services industry. It provides you with knowledge of the legislative framework for operating as an authorised financial adviser. It enables you to apply relevant statutes, regulations, case law and the Code of Professional Conduct for Authorised Financial Advisers to the provision of financial advice.

  •  
    Level
    5
  •  
    Credits
    5
  •  
    EFTs
    0.0417
  • Delivery type
    2019
    Online only
  • Workload

    For each credit, allow about 10 hours of study.

  • Cost
    2019
    NZ students $180 + $60 annual administration fee
    International students $470 + $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

For more information watch the course introduction video below.

Students who successfully complete this course will be able to

  • Explain participants and terms in the legislative framework for financial advisers, and their registration and reporting requirements.
  • Explain the disclosure and conduct obligations of financial advisers, and apply to a given financial advice situation.
  • Explain consumer legislation and financial services compliance legislation, and apply to a given financial advice situation.
  • Explain the Code of Professional Conduct for Authorised Financial Advisers’ standards of ethical behaviour, client care and competence, and apply to a given financial advice situation.
  • Describe participant roles and responsibilities in resolving complaints.

Assessment

Although the Open Polytechnic provides learning materials, this course is assessed by The Skills Organisation. Visit The Skills Organisation’s website for more information and to register for assessment.

You will need to pay an additional fee directly to The Skills Organisation for this assessment.

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
    5
  •  
    Credits
    5
  •  
    EFTs
    0.0417
  • Delivery type
    2019
    Online only
  • Workload

    For each credit, allow about 10 hours of study.

  • Cost
    2019
    NZ students $180 + $60 annual administration fee
    International students $470 + $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