The Regulatory Framework

FSC522

This course is designed for people working in or wishing to enter the financial services industry. It will give you knowledge of the regulatory framework for operating as a financial adviser. It will enable you to interpret and apply relevant statutes, regulations, case law and codes of practice to the provision of financial advice.

  •  
    Level
    5
  •  
    Credits
    20
  •  
    Cost
    $634 NZ Domestic
    $1,858 NZ International
  •  
    EFTS
    0.1667
  • Delivery type
    2023
    Online only
  • Teaching weeks 16 weeks
  • Workload Approximately 13 hours per week
  •  
    Prerequisites Check entry and other requirements under the qualification you are studying

For more information watch the course introduction video below.

 

What you will learn

When you successfully complete this course you will be able to:

  • Interpret relevant provisions in the regulatory framework to consider when providing financial advice
  • Apply legal obligations in a financial advice situation
  • Apply good conduct, ethical, and professional obligations in a financial advice situation
  • Outline the six step advice process

Assessment

This course is 100% internally assessed.

Textbooks

No textbooks are needed for this course.

SKILLS Alternative Pathway for Individuals

FSC522 The Regulatory Framework is the compulsory prerequisite training module for the SKILLS Alternative Pathway for Individuals.  The Alternative Pathway is an assessment process for people who wish to demonstrate that they meet the competence, knowledge, and skill requirements of the Code of Professional Conduct for Financial Services.  This process is for those who do not meet any of the other ways, specified in the Code, of demonstrating the standard.

If you are enrolling in this course as part of the SKILLS Alternative Pathway for Individuals, please apply under our Course Only (Certificate of Proficiency) option as your qualification and not the New Zealand Certificate in Financial Services (Level 5).

Visit the SKILLS website for more information.

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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

You can do this course as part of these qualifications:

Certificate of Proficiency
Certificate

Course availability over the next 12 months

Dec
2023
Jan

January enrolment dates

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30 Dec 2022
9 Jan 2023
28 May 2023
Feb

February enrolment dates

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31 Jan 2023
13 Feb 2023
2 Jul 2023
Mar

March enrolment dates

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28 Feb 2023
13 Mar 2023
30 Jul 2023
Apr

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  •  
    Level
    5
  •  
    Credits
    20
  •  
    Cost
    $634 NZ Domestic
    $1,858 NZ International
  •  
    EFTS
    0.1667
  • Delivery type
    2023
    Online only
  • Teaching weeks 16 weeks
  • Workload Approximately 13 hours per week
  •  
    Prerequisites Check entry and other requirements under the qualification you are studying