Principles of Financial Planning

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


  • One Semester or equivalent

Contact hours

  • 24 hours face to face + blended

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

2023 teaching periods


Higher Ed. Semester 2

31 Jul 23 - 29 Oct 23

5 Dec 23

Last self enrolment:
13 Aug 23

31 Aug 23

Last withdraw without fail:
15 Sep 23

More teaching periods
Swinburne Online

Teaching Period 2

10 Jul 23 - 8 Oct 23

31 Oct 23

Last self enrolment:
23 Jul 23

4 Aug 23

Last withdraw without fail:
25 Aug 23

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