C5343 Diploma of Financial Planning 代写
The School of Vocational Business EducationAssessment Record & Cover SheetAssessment informationProgram Name: C5343 Diploma of Financial PlanningCourse(s)CLUSTER 1: OVERVIEW OF FINANCIAL SERVICES INDUSTRYNational Unit Code and Name: FNSFPL501 Comply with financial planningpractice ethical and operational guidelines and regulationsRMIT Code and Name: BAFI5212C Comply with financial planning practiceethical and operational guidelines and regulationsNational Unit Code and Name: FNSINC401 Apply principles of professionalpractice to work in the financial services industryRMIT Code and Name: EMPL7068C Apply principles of professional practiceto work in the workplaceSemester & Year Semester 1, 2017Teacher Name &Contact DetailsDario BartolomeoDario.email@example.comDate handed out Week 3DUE DATE Week 7Student to Complete:Student Name(s)/Number(s): Title of Assessment Task: Task 2 – Workplace Simulated ProjectStudent Declaration:I declare that in submitting all work for this assessment I / we have read, understood and agree to thecontent and expectations of the Assessment declaration.Assessor to Complete:Assessment Result: Comments/Re-submission Arrangements (ifapplicable):Teacher Name: DATE: Resubmission Assessment Result: (if applicable) Comments Teacher Name: DATE: 2Assessment Information – Task 2 –Workplace Simulated Project – Financial Services GuideOverview of AssessmentThis is assessment Task 2 of a total of 3 assessment tasks. You must successfully complete all 3tasks to achieve competency in this cluster.Assessment Task/Title: Workplace Simulated Project – Financial Services GuideContext/purpose of Task 2For this project you will assume that you are working as a financial adviser for the SwanstonBanking Group Ltd. You will be required to produce a Financial Services Guide covering a range ofitems that a client will need to carefully consider before using the financial services of theSwanston Banking Group.In the second part of the assessment you will be required to produce an information kit explainingto potential clients the type of information required from them during the financial planningprocess.The purpose of the assessment is to enable you to demonstrate a breadth of understanding acrossall of the course material at an independent level. It assesses the knowledge you have obtainedthrough undertaking in client needs and engagement, your communication skills in presenting thatknowledge 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 withguidance. You will have the opportunity to seek advice from your teacher on a number of checkpoints throughout the semester.What you need to do to complete the taskYou are required to successfully complete all questions in Part 1 and Part 2 to be deemedcompetent in this task.Part 1 (a) to (k) – 1,500 WordsPart 2 (a) to (e) – 1,500 WordsYou will require access to the course resources on the Learning hub, recommended textbooks andthe 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 websitehttp://www1.rmit.edu.au/library/referencing-guidesChoose RMIT Harvard – download Harvard referencing examples document3Learning Audit Dates (LAD)You will be required to show drafts of your work to the teacher on the LAD to receive feedbackbefore the final submission. The Assessment Schedule includes the weeks of the scheduledLearning Audit Dates.List resources and specification relevant to the taskWeb resources:http://www.austlii.edu.auhttp://www.rba.gov.au/https://www.superannuation.asn.au/https://www.moneysmart.gov.au/Copy of Corporations Act 2001 – Section 942BCopy of Chapter 7 Of The Corporations Act 2001 (Cth)CORPORATIONS ACT 2001 – SECT 942B – Financial Services Guide Requirements and FinancialDisclosurehttp://www.austlii.edu.au/au/legis/cth/consol_act/ca2001172/s942b.htmlObligations Under Chapter 7 Of The Corporations Act 2001 (Cth)Assessment Support and AdviceReport writing is an important job skill The RMIT Study and Learning Center provide useful andhelpful tutorials and tips to enhance your report writing skills, these resources are available athttps://emedia.rmit.edu.au/learninglab/content/reports-04Submission InstructionsYou should fill in this sheet with your name, number and the title of the assessment, attach yourassessment 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 sheetthat includes a declaration and statement of authorship. You must complete, sign andsubmit a cover sheet with all work you submit for assessment, whether individual or groupwork. On the cover sheet you declare that the work you are presenting for assessment isyour own work. An assignment cover sheet for submission of each assessment task isavailable on blackboard. Each page of your assessment should include footer with your name, student number, thetitle 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 105Marking CriteriaCompetency CriteriaYour project needs to demonstrate all of the following criteria to be deemed competent for this project:Evidence Competent Yes/No CommentsOutline the key requirements of theSection 942B of the CorporationsAct 2001 and the impact on thefinancial planning process and therole of the Advisor.Explain how Section 942B of theCorporations Act 2001 is designedto assist/protect consumers offinancial services products.Outline the process/procedure thatthe organisation (Swanston BankingGroup) will put into place whenproviding financial advice to clients.Demonstrate understanding of thefunctions and importance of thedocuments used by an Advisor inthe initial meeting with a client:a) Fact Finderb) Client AcknowledgementTermsc) Fee Preparation Pland) Authority to AccessInformatione) Product DisclosureStatementAbility to demonstrateunderstanding of the FinancialServices Guide as a marketing toolin the initial meeting with a client.Clearly explain the authority theadvisor by its license to providefinancial advice and arrangementsmade with External ServiceProvidersDescribe the requirements of theAdvisor in respect to the AustralianFinancial Services License.Explain the benefits that theSwanston Bank may receive inaccordance to the Corporation ActRequirements and their licenseprovisions.6Ability to explain to a client the useof the financial planning documentsto address the key requirements ofrelevant legislation, statutoryrequirements and industry codes ofpractice.7Workplace Simulated Project – Financial Services GuideYou are required to successfully complete all sections in Part 1 and Part 2 to satisfactorilycomplete this task.Part 1(i)You are required to examine CORPORATIONS ACT 2001 – SECT 942B – Financial Services GuideRequirements 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 Groupthat will include the following:a) Statement setting out the name and contact details of the Advisor and Australian FinancialServices License (AFSL)b) Purpose of Financial Services Guide as stipulated in Section 942B of the Corporations Act2011 and how the FSG is designed to assist/protect consumers of the financial servicesproducts.c) Statement setting out the step by step process to be followed by the advisor to provideinstructions to the client.d) Design a visual/diagram showing the step by step process in part c that is simple for a clientto 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 itslicense to provide.g) Statement that clearly states the type of related advice that is outside the scope of thelicense 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 receiveaccording to the Corporations Act requirements and the license provisions:a. Fees and charges including commissionb. Other benefitsj) Services not providedk) Conflict of interestsl) Privacym) Relevant DocumentsC5343 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 inthe initial client meeting.Part 21. You are required to prepare an information kit for the Swanston Banking Group Ltdexplaining in laymen’s terms to potential clients the purpose of each of the followingfinancial documents address.a) Fact Finderb) Client Acknowledgement Termsc) Fee preparation Pland) Authority to access informatione) Product Disclosure Statement2. Prepare a briefing paper that can be used in the Bank’s induction program for new staffexplaining in more detail the importance of examining each of the above documents withthe client. In the briefing paper ensure to include the following:a) An overview of when each document is used within the financial planning processb) Select one document and outline the issues which may arise should an advisor exclude thisdocument from the process3. Choosing one of the above documents you are to prepare a short five minute presentationfor your class, explaining its purpose and how it can be presented to a client.C5343 Diploma of Financial Planning 代写
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