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MLI714 - Financial Advice Regulation (Intensive)


2022 unit information

Enrolment modes:

Intensive 02: Cloud
Intensive 09: Cloud

Credit point(s):1
EFTSL value:0.125
Unit Chair:INTENSIVE 02: Kimberley Littorin
INTENSIVE 09: Kimberley Littorin
Cohort rule:

This unit is only available to students enrolled in N002*, M769, M669, M569, M770, M640, M540 and M701



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 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, held via Zoom.

2022 Dates:

Intensive 2: Wednesday 23rd March to Friday 25th March

Intensive 9: Wednesday 12th October to Friday 14th October



*N002 (single unit non-award postgraduate)

How to apply

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.

Current Deakin students can enrol directly via StudentConnect.

Apply now

Enrolment Deadlines:

Intensive period 02: Monday 28th February 2022
Intensive period 09: Monday 19th September 2022

For further information please email bl-se@deakin.edu.au


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. 

ULO These are the Learning Outcomes (ULO) for this unit. At the completion of this unit, successful students can: Deakin Graduate Learning Outcomes

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


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

GLO1: Discipline-specific knowledge and capabilities
GLO4: Critical Thinking


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
GLO4: Critical Thinking


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 Description Student output Grading and weighting
(% total mark for unit)
Indicative due week

Assessment 1: (Individual) Multiple Choice Quiz

  20% Tuesday 22 March 2022 (8.00pm AEDT)

Assessment 2: (Group of 4) Case study 

Part A: Presentation in class
Part B: Written Report

Part A: 10 minute presentation
Part B: 3000 word report

Part A: 20%
Part B: 30%

Final afternoon of the 3 day intensive

Assessment 3: (Individual) Report (Business)

2500 words 30% Thursday 5 May 2022 (8.00pm AEST)

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

From Trimester 2 2022:

Unit Fee Information

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