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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


Possible changes to your unit's learning activities and assessment items

For the remainder of 2020, resulting from Australian Government's directives requiring physical distancing and restrictions on movement because of the COVID-19 pandemic, any exams that are required for assessment in a unit will be online exams. Online exams may also use online proctoring to help assure the academic integrity of those exams. Please contact your unit convener with any questions.

While the University has made efforts to ensure that Unit Outlines reflect a unit’s learning activities and assessment items, any changes to Australian Government directives because of the COVID-19 pandemic may require changes to these during the semester to ensure the safety and well being of students and staff. 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. Any changes made will continue to meet the unit’s learning outcomes, as described in the Unit Outline.

Unit Outlines

To view your Unit Outline, click View to log in to MyUC and access this information, or visit your unit's online teaching site.

  • 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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