MLI714 - Financial Advice Regulation (Intensive)
Unit details
| Year: | 2024 unit information |
|---|---|
| Enrolment modes: | Not offered in 2024 |
| Credit point(s): | 1 |
| EFTSL value: | 0.125 |
| Cohort rule: | This unit is only available to students enrolled in N002*, M512, M769, M669, M569, M640, and M701 *N002 (single unit non-award postgraduate) |
| Prerequisite: | Nil |
| Corequisite: | Nil |
| Incompatible with: | MLC714, MLJ732, 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. This will include educator guided online learning activities within the unit site. |
| Educator-facilitated (scheduled) learning activities - online unit enrolment: | 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. |
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 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 |
|---|---|---|
| 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 |
| 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 |
| 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 | Student output | Grading and weighting (% total mark for unit) | Indicative due week |
|---|---|---|---|
| Assessment 1: (Individual) Multiple Choice Quiz | 20% | Information not yet available | |
| Assessment 2: (Group of 4) Case study Part A: Presentation in class | Part A: 10 minute presentation | Part A: 20% | Final afternoon of the 3 day intensive |
| Assessment 3: (Individual) Report (Business) | 2500 words | 30% | Information not yet available |
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.
Unit Fee Information
Fees and charges vary depending on the type of fee place you hold, your course, your commencement year, the units you choose to study and their study discipline, and your study load.
Tuition fees increase at the beginning of each calendar year and all fees quoted are in Australian dollars ($AUD). Tuition fees do not include textbooks, computer equipment or software, other equipment or costs such as mandatory checks, travel and stationery.
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