Financial Services Regulatory Framework and Advice Module Alternative Pathway

Financial Services Regulatory Framework and Advice module

The Financial Services Regulatory Framework and Advice module is the compulsory prerequisite training module for the Skills Alternative Pathway for Individuals, 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 (the Code). This process is for those who do not meet any of the other ways, as specified in the Code, of demonstrating the required standard. Upon completion of this module, a Certificate of Achievement will be awarded showing completion of Unit Standards 31855 and 31858.  

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Why Strategi Institute

Strategi Institute is the training provider of choice for many corporates and individuals in the financial services sector because:

  • We are an NZQA Category 1 provider – demonstrating a history of high educational outcomes and ability to meet varying learner needs.
  • Our courses are developed by the industry, for the industry, giving you the assurance that you are getting the most up-to-date learning content .
  • We offer flexible modes of delivery led by facilitators who are financial services industry experts.
  • We offer extensive support to ensure a fantastic learning experience for you.
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Delivery mode

Students have a maximum of 12 weeks to complete the module via any of the three modes of learning offered by Strategi Institute:

Features
Online
Online facilitated
Classroom
Self-directed learning
✓
✓
✓
Online learning platform
✓
✓
✓
Assessor support
✓
✓
✓
Study support
Email, live chat, phone
Email, live chat, phone
Email, live chat, phone
Facilitation included
X
Two 3 hour zoom sessions
One 6 hour face-to-face classroom session
Printed course manual
X
✓
✓
Fees
$699 + GST
$859 + GST
$999 + GST
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Learning outcomes

Upon completion of the Financial Services Regulatory Framework and Advice module, learners will be able to:

  1. demonstrate knowledge of the background to the financial services’ regulatory environment and its framework.
  2. demonstrate and apply knowledge of legislation and regulations and their impact in a general financial service context.
  3. apply good conduct and the principles of professionalism in a general financial services context.
  4. demonstrate knowledge of the financial advice Six Step Process.
  5. interpret and explain legislation and regulations applicable to financial advice and financial advice services.
  6. interpret financial services consumer legislation and financial services compliance legislation in a general financial service context.
  7. interpret the Code of Professional Conduct for Financial Advice Services.
  8. explain legislation and regulations applicable to complaints and disputes handling processes.

Assessment method:

The module follows a standards-based competency assessment where student will be required to complete two assignments covering the outcomes of unit standards 31855 and 31858. Students get three attempts at each assignment to prove they meet the required standards.

Need help?

Can’t find the course you are looking for, or need more information on what option is best for you? Contact the Strategi Institute team, we are here to help you.

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