Professional Practice and the Financial Advice Process

Course code FSC517

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 financial advice process and associated regulatory practices for operating in the financial advising sector. It enables you to apply the financial advice process in a professional manner to the provision of financial advice.

For more information watch the course introduction video below.

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 5  
    Credits 25 
  • Study type Open  
    EFTS 0.2083  
  • 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 $750 + $60 annual administration fee
    International students $2,190 + $60 annual administration fee
  • Prerequisites Check entry and other requirements under the qualification you are studying  

Students who successfully complete this course will be able to

  • Establish and define the nature and scope of the client and financial adviser relationship.
  • Gather client information to identify and analyse client requirements and risk profile.
  • Analyse and evaluate financial situations of clients, and develop, present, and agree appropriate financial strategies and solutions.
  • Coordinate the implementation of, and monitor agreed financial strategies and solutions for clients.
  • Apply legislation, regulations, and codes of practice, and respond to fiduciary issues during the financial advice process.


This courses is 100% internally assessed

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.