FINC 7004 Financial Adviser Communication Skills

Credit Points 10

Legacy Code 200987

Coordinator Kamel Taoum Opens in new window

Description In this practical subject students develop the ability to write up a risk profile with objectives for clients with varying needs. Students analyse investment decisions and provide advice to clients which is informed by regulatory issues relevant to the finance industry. Students are required to demonstrate the ability to create a Statement of Advice for clients of different risk preference and investor profile.

School Business

Discipline Investment and Securities

Student Contribution Band HECS Band 4 10cp

Check your fees via the Fees page.

Level Postgraduate Coursework Level 7 subject

Equivalent Subjects BUSM 7007 - Business Communication Skills

Incompatible Subjects FINC 7001 - Communication and Ethics for Financial Planners


Students must be enrolled in one of the following programs - 2807 Master of Stockbroking and Financial Advising or 2808 Diploma of Stockbroking and Financial Advising or 2809 Graduate Certificate of Stockbroking and Financial Advising.

Assumed Knowledge

Some knowledge of analysing markets and investments would be beneficial.

Learning Outcomes

On successful completion of this subject, students should be able to:

  1. Analyse regulatory issues relevant to managed investment and security products in Australia;
  2. Evaluate disclosure obligations as they relate to giving advice to clients over the telephone;
  3. Advise clients on securities and managed investment products and services in accordance with Australian Securities and Investments Commission (ASIC) requirements.
  4. Demonstrate the various types of communication (both written and verbal) used in business and the different styles of communication required;
  5. Evaluate and critically analyse the ethical considerations that relate to financial advice;
  6. Apply and appraise knowledge of productive group work to a business workplace situation;
  7. Analyse the client�fs needs and objectives and advise the client on appropriate investment strategies;
  8. Apply appropriate regulations, including disclosures, in the giving of financial advice.

Subject Content

Identifying Client Needs and Objectives
Client Risk Profile
Legal and Tax Considerations
Analysing and Developing Recommendations
Providing Advice
Providing Ongoing Service
Providing Advice and Ongoing Service
Developing Written Business Documents
Acknowledging Sources
Ethical Practice in Academia and Business
Logial Reasoning and Clear Communication in Business
How to Effectively Work in Groups


The following table summarises the standard assessment tasks for this subject. Please note this is a guide only. Assessment tasks are regularly updated, where there is a difference your Learning Guide takes precedence.

Type Length Percent Threshold Individual/Group Task
Presentation 15 minutes 25 N Individual
Assignment: Professional Task 2,000 words 25 N Individual
Final Exam 2 hours 50 Y Individual

Structures that include subject