Application of Regulatory Responsibilities

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The second module of this qualification contains one unit standard and focuses on the regulatory environment for financial advisers in New Zealand.

There is one unit standard and assessment is by way of 2 multi choice questions and 4 written answer questions.

Completion is required within 90 days.



Learning Units Included

Application of Regulatory Responsibilities


This Unit Standard will allow you to demonstrate knowledge of the financial services regulatory compliance and advice process environment in New Zealand.

This unit Standard is made up of three parts:

Part 1 - Key Legislation and Responsibilities

  • Regulations and Legislation governing the Financial Services Industry.
  • Financial Advisers framework
  • Client care and information
  • Consumer and company legislation
  • Legislation relating indirectly to the financial services sector.   

Part 2 - Codes of Practice and Regulations

  • Codes of Practice
  • Financial Services employees ethical practice
  • Disputes resolution
  • Applying the rules

Part 3  - Using the Six Step Advice Process

  • The six step process for the provision of Financial Advice
  • Key economic factors Impacting the financial services sector.
  • How these factors influence consumer needs.

Assessment is by way of written answers, and provision of a case study to outline processes.

  • Apply the Six Step process and display Professional and ethical behavior.
  • Discuss codes of practise and complaints handling
  • Apply the codes of practice, legislation to a range of situations
  • Apply principles of professionalism when providing financial services

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