This unit provides an insight to the elements of the financial planning profession. Students will learn about the necessary acumen of analysing economic factors and their impact on individuals’ financial plans. This unit also examines the regulatory environment and contemporary issues within the financial planning industry and underpinning elements of an adviser’s professional capacity and conduct. Financial planning strategies, processes and related due diligence will be investigated in this unit. Additionally, students will be introduced to financial planning technologies and ethical principles.


Teaching Periods
Start and end dates
Last self-enrolment date
Census date
Last withdraw without fail date
Results released date

Learning outcomes

Students who successfully complete this unit will be able to:

  • Critically analyse financial advice process with regard to current legislations and industry code of conducts
  • Evaluate the relevant macro and micro economics factors and integrate them into the assessment of clients’ situations
  • Assess range of financial planning scopes to develop advanced client strategies
  • Utilise technological platforms to integrate client information, strategies and macro and micro economic factors to generate a Statement of Advice
  • Demonstrate an advanced understanding of professional competencies and work collaboratively in teams

Teaching methods


Type Hours per week Number of weeks Total (number of hours)
2.00 12 weeks 24
Unspecified Activities
Independent Learning
9.50 12 weeks 114
1.00 12 weeks 12

Swinburne Online

Type Hours per week Number of weeks Total (number of hours)
Directed Online Learning and Independent Learning
12.50 12 weeks 150


Type Task Weighting ULO's
AssessmentIndividual 30 - 50% 1,2,3 
AssignmentGroup 20 - 30% 1,2,3,4,5 
Online QuizzesIndividual 20 - 30% 1,2,3 
PresentationIndividual 10 - 20% 1,2,3 


  • Economic environment
  • Overview of financial planning industry
  • Financial advice regulatory and legal obligation
  • Financial advice process
  • Scopes and strategies to generate advice
  • Construction and presentation of strategic Statement of Advice
  • Use of technology in Financial Planning
  • Client engagement and necessary elements for a contemporary professional

Study resources

Reading materials

A list of reading materials and/or required textbooks will be available in the Unit Outline on Canvas.