C5343 Diploma of Financial Planning 代写

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The School of Vocational Business Education

Assessment Record & Cover Sheet

Assessment information

Program Name: C5343 Diploma of Financial Planning

Course(s)

CLUSTER 1: OVERVIEW OF FINANCIAL SERVICES INDUSTRY

National Unit Code and Name: FNSFPL501 Comply with financial planning

practice ethical and operational guidelines and regulations

RMIT Code and Name: BAFI5212C Comply with financial planning practice

ethical and operational guidelines and regulations

National Unit Code and Name: FNSINC401 Apply principles of professional

practice to work in the financial services industry

RMIT Code and Name: EMPL7068C Apply principles of professional practice

to work in the workplace

Semester & Year Semester 1, 2017

Teacher Name &

Contact Details

Dario Bartolomeo

[email protected]

Date handed out Week 3

DUE DATE Week 7

Student to Complete:

Student Name(s)/Number(s):

Title of Assessment Task: Task 2 - Workplace Simulated Project

Student Declaration:

I declare that in submitting all work for this assessment I / we have read, understood and agree to the

content and expectations of the Assessment declaration.

Assessor to Complete:

Assessment Result:

Comments/Re-submission Arrangements (if

applicable):

Teacher Name:

DATE:

Resubmission Assessment Result: (if applicable)

Comments

Teacher Name:

DATE:

Assessment Information – Task 2 –Workplace Simulated Project – Financial Services Guide

Overview of Assessment

This is assessment Task 2 of a total of 3 assessment tasks. You must successfully complete all 3

tasks to achieve competency in this cluster.

Assessment Task/Title: Workplace Simulated Project - Financial Services Guide

Context/purpose of Task 2

For this project you will assume that you are working as a financial adviser for the Swanston

Banking Group Ltd. You will be required to produce a Financial Services Guide covering a range of

items that a client will need to carefully consider before using the financial services of the

Swanston Banking Group.

In the second part of the assessment you will be required to produce an information kit explaining

to potential clients the type of information required from them during the financial planning

process.

The purpose of the assessment is to enable you to demonstrate a breadth of understanding across

all of the course material at an independent level. It assesses the knowledge you have obtained

through undertaking in client needs and engagement, your communication skills in presenting that

knowledge and your problem-solving skills in answering the questions posed.

The assessment will be available on Blackboard in Week 3 and your teacher will provide you with

guidance. You will have the opportunity to seek advice from your teacher on a number of check

points throughout the semester.

What you need to do to complete the task

You are required to successfully complete all questions in Part 1 and Part 2 to be deemed

competent in this task.

Part 1 (a) to (k) – 1,500 Words

Part 2 (a) to (e) – 1,500 Words

You will require access to the course resources on the Learning hub, recommended textbooks and

the website links prescribed for the program and the list of resources below specific to this task.

You must reference all your work using the Harvard referencing System.

Available via the Library website

http://www1.rmit.edu.au/library/referencing-guides

Choose RMIT Harvard - download Harvard referencing examples document

Learning Audit Dates (LAD)

You will be required to show drafts of your work to the teacher on the LAD to receive feedback

before the final submission. The Assessment Schedule includes the weeks of the scheduled

Learning Audit Dates.

List resources and specification relevant to the task

Web resources:

http://www.austlii.edu.au

http://www.rba.gov.au/

https://www.superannuation.asn.au/

https://www.moneysmart.gov.au/

Copy of Corporations Act 2001 – Section 942B

Copy of Chapter 7 Of The Corporations Act 2001 (Cth)

CORPORATIONS ACT 2001 - SECT 942B – Financial Services Guide Requirements and Financial

Disclosure

http://www.austlii.edu.au/au/legis/cth/consol_act/ca2001172/s942b.html

Obligations Under Chapter 7 Of The Corporations Act 2001 (Cth)

Assessment Support and Advice

Report writing is an important job skill The RMIT Study and Learning Center provide useful and

helpful tutorials and tips to enhance your report writing skills, these resources are available at

https://emedia.rmit.edu.au/learninglab/content/reports-0

Submission Instructions

You should fill in this sheet with your name, number and the title of the assessment, attach your

assessment and submit to Blackboard on or before the due date.

You should:

 Ensure that you submit assessments on or before the due date.

 Always retain a copy of your assessment tasks. (hard copy and soft copy)

 When you submit work for assessment at RMIT University you need to use a cover sheet

that includes a declaration and statement of authorship. You must complete, sign and

submit a cover sheet with all work you submit for assessment, whether individual or group

work. On the cover sheet you declare that the work you are presenting for assessment is

your own work. An assignment cover sheet for submission of each assessment task is

available on blackboard.

 Each page of your assessment should include footer with your name, student number, the

title of the assessment, unit code and title and page numbers. For example, Callie Harvey,

324567, Task 2, Cluster 1, Overview of Financial Services, Page 1 of 10

Marking Criteria

Competency Criteria

Your project needs to demonstrate all of the following criteria to be deemed competent for this project:

Evidence Competent Yes/No Comments

Outline the key requirements of the

Section 942B of the Corporations

Act 2001 and the impact on the

financial planning process and the

role of the Advisor.

Explain how Section 942B of the

Corporations Act 2001 is designed

to assist/protect consumers of

financial services products.

Outline the process/procedure that

the organisation (Swanston Banking

Group) will put into place when

providing financial advice to clients.

Demonstrate understanding of the

functions and importance of the

documents used by an Advisor in

the initial meeting with a client:

a) Fact Finder

b) Client Acknowledgement

Terms

c) Fee Preparation Plan

d) Authority to Access

Information

e) Product Disclosure

Statement

Ability to demonstrate

understanding of the Financial

Services Guide as a marketing tool

in the initial meeting with a client.

Clearly explain the authority the

advisor by its license to provide

financial advice and arrangements

made with External Service

Providers

Describe the requirements of the

Advisor in respect to the Australian

Financial Services License.

Explain the benefits that the

Swanston Bank may receive in

accordance to the Corporation Act

Requirements and their license

provisions.

Ability to explain to a client the use

of the financial planning documents

to address the key requirements of

relevant legislation, statutory

requirements and industry codes of

practice.

Workplace Simulated Project - Financial Services Guide

You are required to successfully complete all sections in Part 1 and Part 2 to satisfactorily

complete this task.

Part 1(i)

You are required to examine CORPORATIONS ACT 2001 - SECT 942B – Financial Services Guide

Requirements and Financial Disclosure Obligations Under Chapter 7 of The Corporations Act 2001

(Cth) relating to the FSG and prepare a Financial Services Guide for the Swanston Banking Group

that will include the following:

a) Statement setting out the name and contact details of the Advisor and Australian Financial

Services License (AFSL)

b) Purpose of Financial Services Guide as stipulated in Section 942B of the Corporations Act

2011 and how the FSG is designed to assist/protect consumers of the financial services

products.

c) Statement setting out the step by step process to be followed by the advisor to provide

instructions to the client.

d) Design a visual/diagram showing the step by step process in part c that is simple for a client

to follow with enough detail that is a complete snapshot of the process.

e) Products and Services the Swanston Banking Grouping Ltd is licensed to provide

(Superannuation & Life Insurance)

f) Statement about the Financial Services which the advisor and AFSL has authority by its

license to provide.

g) Statement that clearly states the type of related advice that is outside the scope of the

license and will require referral to other external service provides.

h) Arrangements with External Service Providers and the benefits to the client.

i) Disclosure Statement of benefits that Swanston Banking Grouping Group may receive

according to the Corporations Act requirements and the license provisions:

a. Fees and charges including commission

b. Other benefits

j) Services not provided

k) Conflict of interests

l) Privacy

m) Relevant Documents

C5343 Diploma of Financial Planning 代写

Part 1(ii)

Outline how you could utilise the Guide that you have created in Part 1 (i) as a marketing tool in

the initial client meeting.

Part 2

1. You are required to prepare an information kit for the Swanston Banking Group Ltd

explaining in laymen’s terms to potential clients the purpose of each of the following

financial documents address.

a) Fact Finder

b) Client Acknowledgement Terms

c) Fee preparation Plan

d) Authority to access information

e) Product Disclosure Statement

2. Prepare a briefing paper that can be used in the Bank’s induction program for new staff

explaining in more detail the importance of examining each of the above documents with

the client. In the briefing paper ensure to include the following:

a) An overview of when each document is used within the financial planning process

b) Select one document and outline the issues which may arise should an advisor exclude this

document from the process

3. Choosing one of the above documents you are to prepare a short five minute presentation

for your class, explaining its purpose and how it can be presented to a client.

C5343 Diploma of Financial Planning 代写