University of Technology Sydney

25772 Financial Planning: Principles and Regulation

Requisite(s): 25742c Financial Management AND 25741c Capital Markets
The lower case 'c' after the subject code indicates that the subject is a corequisite. See definitions for details.
These requisites may not apply to students in certain courses.
There are course requisites for this subject. See access conditions.



This subject provides an introduction to financial planning and an overview of the compliance needs and the legislative and regulatory environment with particular emphasis on the Corporations Act. It analyses the financial planning process and the main activities involved in the development, delivery and successive monitoring of the financial plan. This includes an exploration of the financial planning value chain, the role of the different stakeholders and the possible conflicts of interests. It provides an overview of the regulatory environment and the implications for the financial planning industry.

Detailed subject description.

Access conditions

Note: The requisite information presented in this subject description covers only academic requisites. Full details of all enforced rules, covering both academic and admission requisites, are available at access conditions and My Student Admin.