Compulsary Units

Free +GST Retail

These 2 units are compulsory for all level 4 students

Learning Units Included

Industry Knowledge and Professional Practice


At the end of this unit you will be able to:

  • Identify and explain the main sectors of financial services industry.
  • Explain roles within the financial industry in terms of their responsibilities.
  • Identify and apply appropriate legislation, regulations and codes of practice for any given context.
  • Fully comply with industry regulation and code of practice.
  • Plan for a given period, managing resources, time and priorities.
  • Plan a workload in accordance with organisation requirements.
  • Identify and review professional development needs and goals perpetually.
  • Professional development opportunities are planned and complied in an agreed time frame.
  • Demonstrate knowledge of the sectors and responsibilities of the financial services industry.
  • Evaluate external factors that impact on the industry.
  • Identify and apply financial services industry codes of practice, legislation, and regulations.
  • Advance and maintain personal competency in a financial services organisation.

Essentials of Communication


At the end of this unit you will be able to:

  • Use appropriate forms of address and identification that fit the specified situation, workplace, occasion, medium, and relationship between the participants.
  • Clarify the needs of the clients, take notes and pass on information accurately, where appropriate.
  • Give and present complete concise, logically organised and clear information that meets client expectations.
  • Seek feedback from your client to ensure that their needs are understood.
  • Treat confidential information with discretion and in accordance with the Privacy Act 1993.
  • Follow specified procedures for the storage and passing on of information in an insurance brokerage company.
  • Identify and use a mode of communication appropriate for a specified audience and situation.
  • Follow conventions of any formats used in accordance with your workplace requirements.



  • Record and convey information.
  • Give information to clients.
  • Respond to an enquiry.

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