Principles of Financial Planning

FIN10003 12.5 Credit Points Hawthorn, Online Available to incoming Study Abroad and Exchange students


  • One Semester or equivalent
    This unit will be delivered on-line in Semester 2 2020. 

Contact hours

  • 36 hours

2020 teaching periods


Higher Ed. Semester 2

3 Aug 20 - 1 Nov 20

8 Dec 20

Last self enrolment:
16 Aug 20

31 Aug 20

More teaching periods

Swinburne Online

Teaching Period 2

6 Jul 20 - 4 Oct 20

27 Oct 20

Last self enrolment:
19 Jul 20

31 Jul 20

Aims and objectives

This unit aims to provide an overview of the financial planning industry. Students will learn about the background and purpose of financial planning legislations and the relevant code of conducts. They will also learn the financial advice process and the steps involved in construction and communication of a Statement of Advice, considering clients’ objectives and needs. This unit introduces the management of a financial planning practice. Students will also be introduced to relevant technologies, client engagement process and ethical principles in Financial Planning.

Unit Learning Outcomes (ULO)

Students who successfully complete this unit will be able to:
1. Identify scope of financial advice and demonstrate knowledge of financial advice processes and technologies.
2. Exhibit an understanding of legislation and codes of conduct in the financial planning industry.
3. Develop a Statement of Advice for clients while considering the relevant ethical principles and professional conduct requirements.
4. Demonstrate professional communication skills, in order to effectively articulate an idea and convince others of its merit.
5. Work collaboratively and effectively in diverse teams