Elements of Financial Planning and Regulation

FIN60010 12.5 Credit Points Hawthorn, Online Available to incoming Study Abroad and Exchange students


  • One Semester or equivalent

Contact hours

  • 36 hours

On-campus unit delivery combines face-to-face and digital learning. For Online unit delivery, learning is conducted exclusively online.

2022 teaching periods

Swinburne Online

Teaching Period 3

7 Nov 22 - 5 Feb 23

28 Feb 23

Last self enrolment:
20 Nov 22

2 Dec 22

Last withdraw without fail:
23 Dec 22


Anti-req - unit similar in content.

Aims and objectives

From 2020 unit re-coded to FIN60010 (from FIN60007)
The Financial Adviser Standards and Ethics Authority (FASEA) has approved this unit as equivalent to FASEA Bridging Course Financial Advice Regulatory & Legal Obligations. 
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.
Unit Learning Outcomes (ULO)
Students who successfully complete this unit will be able to:
1. Critically analyse financial advice process with regard to current legislations and industry code of conducts
2. Evaluate the macro and micro economics factors and integrate them into the assessment of clients’ situation
3. Assess range of financial planning scopes to develop advanced client strategies
4. Utilise technological platforms to integrate client information, strategies and macro and micro economic factors to generate a Statement of Advice
5. Demonstrate an advanced understanding of professional competencies and work collaboratively in diverse teams
This unit is available as a single unit of study as part of Swinburne’s FASEA approved Bridging Courses:

FIN60010: Elements of Financial Planning and Regulation
Equivalent to FASEA Bridging Course Financial Advice Regulatory & Legal Obligations

FIN60011: Behavioural Finance and Investment
Equivalent to FASEA Bridging Course Behavioural Finance: Client and Consumer Behaviour, Engagement and Decision Making

FIN60012: Ethics and Client Management
Equivalent to FASEA Bridging Course Ethics for Professional Advisors

As an existing practising financial planner, you may need to update your credentials in order to comply with
Swinburne has a range of options from single bridging courses through to Master degree programs.

If you only need to complete one, two or three of the FASEA approved Bridging Courses then you can enrol in these as single units at Swinburne – available to study online or at the Hawthorn Campus. The Hawthorn delivery also offers a choice between intensive mode 
(3 weekends: Friday afternoon plus all day Saturday) or traditional semester mode (one 3 hour class per week x 12 weeks).