C5343 Diploma of Financial Planning 代寫

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  • C5343 Diploma of Financial Planning 代寫

     
    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
    Dario.bartolomeo@rmit.edu.au
    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: 
    2
    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
    3
    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
    4
    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
    5
    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.
    6
    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.
    7
    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 代寫
     
    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 代寫

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