MLI714 - Financial Advice Regulation (Intensive)
Unit details
Year: | 2021 unit information |
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Important Update: | Unit delivery will continue to be provided in line with the most current COVIDSafe health guidelines. This may include a mix of on-campus and online activities. To find out how you are impacted, please check your unit sites for announcements and updates. Unit sites open one week prior to the start of each Trimester/Semester. Thank you for your flexibility and commitment to studying with Deakin in 2021. Last updated: 4 June 2021 |
Enrolment modes: | Intensive 03: Cloud^ |
Credit point(s): | 1 |
EFTSL value: | 0.125 |
Unit Chair: | INTENSIVE 03: Abdul Alajlan INTENSIVE 09: Kimberley Littorin |
Cohort rule: | This unit is only available to students enrolled in N002*, M769, M669, M770, M640, M540 and M701 |
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 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. ^2021 Dates
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Note:*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. Enrolment Deadlines: Intensive period 03 enrolment deadline: Sunday 21 March 2021 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 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 |
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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% | dates to be advised | |
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% | dates to be advised |
Assessment 3 (Individual)- Report (business) | 2500 words | 30% | dates to be advised |
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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