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The Regulatory Framework

FSC522

  • Level 5
  • 20 Credits
  • 0.1667 EFTS
  • Delivery type:
    Online only
  • Course duration: 16 weeks
  • Course cost:
    $731 NZ Domestic
    $1,828 NZ International
  • Workload - Approximately 13 hours per week
  • Availability
    Monthly course availability for upcoming periods
    Not available
    Aug
    		2027 Not available
    Jan
    		Not available
    Feb
    		Not available
    Mar
    		Not available
    Apr
    		Not available
    May
    		Not available
    Jun
    		Not available
    Jul

This course is designed for people working in or wishing to enter the financial services industry. It will give you knowledge of the regulatory framework for operating as a financial adviser. It will enable you to interpret and apply relevant statutes, regulations, case law and codes of practice to the provision of financial advice.

For more information watch the course introduction video below.

 

What you will learn

When you successfully complete this course you will be able to:

  • Interpret relevant provisions in the regulatory framework to consider when providing financial advice
  • Apply legal obligations in a financial advice situation
  • Apply good conduct, ethical, and professional obligations in a financial advice situation
  • Outline the six step advice process

Assessment

This course is 100% internally assessed.

Textbooks

No textbooks are needed for this course.

SKILLS Alternative Pathway for Individuals

FSC522 The Regulatory Framework is the compulsory prerequisite training module for the SKILLS Alternative Pathway for Individuals.  The Alternative Pathway is an assessment process for people who wish to demonstrate that they meet the competence, knowledge, and skill requirements of the Code of Professional Conduct for Financial Services.  This process is for those who do not meet any of the other ways, specified in the Code, of demonstrating the standard.

If you are enrolling in this course as part of the SKILLS Alternative Pathway for Individuals, please apply under our Course Only (Certificate of Proficiency) option as your qualification and not the New Zealand Certificate in Financial Services (Level 5).

Visit the SKILLS website for more information.

SKILLS Alternative Pathway for Individuals.

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Computer and internet requirements

This course is delivered online, so you will access the course and do your study online, which generally includes reading and doing activities, watching videos, downloading content, and writing and submitting assessments online.

For online learning you need:

  • Access to a laptop or desktop computer
  • Reliable broadband internet and a data plan

Find out more about online learning

If you are unsure if your current computer or internet access will allow you to study online please contact us.

How to apply

Apply to study a programme

You can study this course as part of any of the programmes listed below.

Click on a tile to go the programme information, including the entry requirements and how many courses you'll need to do to complete the programme.

From there you click 'Apply now' and start your study journey.

Apply to study this course

If you would like to study just this course and not enrol in a certificate, diploma or degree you can apply here.

Learn more about course only study