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Professional IQ College’s Legislation Framework Module has been written by industry experts and covers the compulsory prerequisite training required for the Financial Services Alternative Pathway for Individuals, as offered by Skills.

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.

Read on for detailed information about the Module, or contact the team at Professional IQ to find out more.

Legislative Framework Module Description

This module provides an understanding of the financial services legislation framework. Applying good conduct obligations in client interactions, including the advice process and the key elements of legal, ethical and professional obligations. Enabling graduates to interpret applicable provisions in the regulatory framework to use when providing Financial Advice and Financial Advice Services.

Module Contents and Support

  • Study Guides containing the learning materials
  • Assessment documents containing the questions
  • Access to the College On-line Portal for downloading material and communicating with the College
  • Tutor/Assessor providing feedback on assessment work
  • Student Liaison Adviser providing enrolment and completion support
  • Graduates will attain Unit Standards 31855 and 31858
  • Certificate of Achievement will be provided.

Credits 20 | CPD Points 20 | Duration 8 - 15 weeks | Cost $730 +gst

Learning Outcomes

  • Demonstrate knowledge of the background to the financial services’ regulatory environment and its framework
  • Demonstrate and apply knowledge of legislation and regulations and their impact in a general financial services context
  • Apply good conduct and the principles of professionalism in a general financial services context; and demonstrate knowledge of the financial advice Six Step Process
  • Interpret and explain legislation and regulations applicable to financial advice and financial advice services
  • Interpret financial services consumer legislation and financial services compliance legislation in a general financial services context
  • Interpret the Code of Professional Conduct for Financial Advice Services
  • Explain legislation and regulations applicable to complaints and disputes handling processes.

Ready to get underway?
Enrol with Professional IQ today.

To enrol in the Professional IQ College Financial Services Legislative Framework Module, simply complete our Student Registration form online.

Once we have received your enrolment information, the Student Liaison team will be in contact to organise your start date and course work. Click here to enrol.

Like to find out more?

Contact the team at Professional IQ today.

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