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Financial Plans and Risk Management (11327.2)

Level: Level 3 - Undergraduate Advanced Unit
Credit Points: 3
HECS Bands:

Band 3 2013-2020 (Expires 31 Dec 2020) Band 4 2021 (Commenced After 1 Jan 2021) Band 5 2021 (Commenced Before 1 Jan 2021)

Faculty: Faculty of Business, Government & Law
Discipline: Canberra Business School


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As a result of the Australian Government's and or the ACT Government’s directives requiring physical distancing and restrictions on movement because of the COVID-19 pandemic, you may find that learning activities and/or assessment items in some units you are studying have changed. These changes will not be updated in the published Unit Outline but will be communicated to you via your unit’s UCLearn(Canvas) teaching site. The new learning activities and/or assessment items will continue to meet the unit's learning outcomes, as described in the Unit Outline.

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Unit Outlines

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  • Semester 2, 2020, ON-CAMPUS, BRUCE (198067) - View
  • Semester 2, 2019, ON-CAMPUS, BRUCE (184833) - View

If a link to your Unit Outline is not displayed, please check back later. Unit Outlines are generally published by Week One of the relevant teaching period.


The unit aims to provide students with the knowledge and skills to prepare a best practice Statement of Advice, as well as implement and review recommendations made to clients. Students will have an understanding of the ethical, legal and professional requirements of providing comprehensive financial advice and be able to demonstrate effective client communication skills, conduct client and product research, and develop strategies for clients with unique needs. The unit explores risk management strategies including life and general insurance.

Learning Outcomes

After successful completion of this unit, students will be able to:

1. Identify specific legal requirements governing the provision of financial advice in Australia and appropriately apply them in the preparation of Statements of Advice;

2. Construct effective financial plans for clients;

3. Demonstrate effective communication, professional skills, and knowledge required to manage client-advisor relationships;

4. Analyse a client's situation to identify client's goals and suitable products;

5. Set up and evaluate simulated financial strategies, including life, health and general insurance and risk management strategies, and products; and

6. Synthesise relevant information to prepare and present a best practice Statements of Advice.

Assessment Items

Contact Hours

One 2 hour lecture and one 1 hour tutorial on-campus per week.


11229 Superannuation, Retirement and Estate Planning



Assumed Knowledge


Incompatible Units


Equivalent Units

9986 Financial Plans and Risk Management

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