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2022 unit information
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The unit provides an overview of the legal principles of the financial advice industry and students with no legal experience are expected to undertake additional background readings in order to complete this unit successfully.
Students will on average spend 150 hours over the trimester undertaking the teaching, learning and assessment activities for this unit.
1 x 3 hour seminar per week
From T2 2022:
Online independent and collaborative learning activities (1.5 hours per week) + 1 x 1.5 hour seminar per week
Online independent and collaborative learning including 11 scheduled online workshops of 1 hour duration.
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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 services licensee obligations, financial services and markets, financial services reforms in Australia, main regulators in the financial industry, dispute resolution in financial advice industry, and financial services disclosure.
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 capabilitiesGLO4: 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 capabilitiesGLO2: CommunicationsGLO4: 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
These Unit Learning Outcomes are applicable for all teaching periods throughout the year.
From Trimester 2Assessment Description
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.
Texts and reading lists for units can be found on the University Library via the following link.
Note: Select the relevant trimester reading list. Please note that a future teaching period's reading list may not be available until a month prior to the start of that teaching period so you may wish to use the relevant trimester's prior year reading list as a guide only.
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