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MLI714 - Financial Advice Regulation (Intensive)

Year:2020 unit information
Important Update:

Classes and seminars in Trimester 2, 2020 will be online.

Last updated: 2 June 2020

Enrolment modes:

Intensive 04: Burwood (Melbourne)*

Credit point(s):1
EFTSL value:0.125
Unit Chair:Intensive period 04: Abdullah Alajlan
Intensive period 09: Abdullah Alajlan
Cohort rule:

This unit is only available to students enrolled in N002, M769, M669, M569, M770, M640 and M540

Prerequisite:

Nil

Corequisite:Nil
Incompatible with: MLC714, MLM717
Typical study commitment:

Students will on average spend 130 hours undertaking the teaching, learning and assessment activities for this unit. Students will have 24 hours of face-to-face contact over the course of 3 consecutive days with separate independent and collaborative learning required both prior to and subsequent to the Intensive.  

Scheduled learning activities - cloud:

Students will be required to access the Unit Site for reading and preparation work which will be available four weeks prior to the commencement of the intensive.

Students can expect to spend 130 hours undertaking the learning and assessment activities for this unit. Collaborative learning required both prior to and subsequent to the Intensive.

 

In-person attendance requirements:

In addition to the online scheduled learning activities, this intensive unit requires students to attend three consecutive days of intensive study from 9.00am to 5.00pm.

2020 Dates:

Intensive Period 4 - will be run via a virtual classroom format through Zoom from 9.00am to 5.00pm. 

Intensive Period 4 - will be run via a virtual classroom format through Zoom from 9.00am to 5.00pm.

 

Note:

How to apply

Intensive period 04 applications: Applications are now closed.

Please email financial-planning@deakin.edu.au to apply.

For assistance with your application process, book a one-on-one consultation with a student adviser.

For step-by-step application instructions, download our guide.

Current Deakin students can enrol directly via StudentConnect.

Enrolment Deadlines:

Intensive period 04: 12 April 2020

For further information please email blres@deakin.edu.au

Content

This unit gives students an advanced and integrated understanding of Financial Advice Regulation in Australia including the relevant sections of Chapter 7 of the Corporations Act 2001 (Cth). A wide range of topics will be covered such as financial crises, financial services and markets, financial services reforms in Australia, Australian Securities and Investments Commission (ASIC), Australian Prudential Regulation Authority (APRA), financial service providers, and financial services disclosure.

 

These are the Learning Outcomes (ULO) for this Unit
At the completion of this Unit, successful students can:

Deakin Graduate Learning Outcomes

 ULO1

Interpret and apply Chapter 7 of the Corporations Act, and elements of other relevant acts, to financial services scenarios and identify providers’ obligations and breaches of those obligations.

GLO1: Discipline-specific knowledge and capabilities

 

ULO2

Describe and critically analyse the role of regulators and evaluate possible enforcement actions

 

GLO1: Discipline-specific knowledge and capabilities

GLO4: Critical Thinking

 

ULO3

Develop submissions and reports for a variety of professional audiences and purposes that meet required financial, legal, ethical and social responsibilities.

GLO1: Discipline-specific knowledge and capabilities

GLO2:Communications

GLO4: Critical Thinking

ULO4

Justify actions in relation to the obligations of financial professionals under Chapter 7 of the Corporations Act, and other relevant acts and regulations

GLO1: Discipline-specific knowledge and capabilities

Assessment

Assessment Description Length Grading and weighting
(% total mark for unit)
Due week 

Assessment 1: Multiple Choice Quiz

  20%

Quiz opens 22 April

Quiz closes: 5 May

Assessment 2: Case study (group of 4)

-Presentation in class

-Written Report

10 minute presentation; and

3000 word report

50% total:

Presentation - 20%

Report - 30%

Presentation: 8 May

Report 24 May

Assessment 3 (Individual)- Report (business)

2500 words 30% 7 June

The assessment due weeks provided may change. The Unit Chair will clarify the exact assessment requirements, including the due date, at the start of the teaching period.

Hurdle requirement

Hurdle requirement: Student must achieve 80% on the MCQ test and 50% of total available marks

Unit Fee Information

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