FSC522 The Regulatory Framework (Law) Assignment

FSC522 The Regulatory Framework


Ver: 1.0

Learning Outcomes

This assessment assesses Learning outcomes 3 and 4:

  • LO3: Apply good conduct, ethical, and professional obligations in a financial advice situation.
  • LO4: Outline the six-step advice process.
  • Submit all your answers in one document.
  • Write the number of each part of the question you are answering.
  • Create a header with your name, student number and assessment number, and number your pages.
  • You must make a reasonable attempt to complete your assessment before you submit.
  • Submit your work through your iQualify course. Emailed assessments will not be accepted.
  • You will receive an automated notice following submission.
  • By submitting, you confirm that the work presented is your own original work.
Referencing and Plagiarism

Refer to Referencingandplagiarism for information on APA referencing and avoiding plagiarism.

Task Instructions:
  • Read the case study provided in the separate document Appendix 2

TohutohuMoketeLimited(TML)to answer Task 4.

  • Complete all fivetasks.
Task 1: Hierarchy of the financial services framework

You have been asked to mentor a group of trainee advisers. One of your first tasks is to give a short presentation to the group on the hierarchy of the financial services framework.

Prepare the text of your presentation explaining each of the following layers of the regulatory framework and providing onebrief example of each:

  • legislation (Acts)
  • regulations
  • codes of practice
  • principles of professionalism
  • good conduct.


Task 2: The six-step advice process

For this task assume you are a financial adviser giving regulated financial advice to one of your clients in oneof the following areas:

  • investments
  • life and health insurance
  • general insurance
  • residential property lending.

Each step in the six-step advice process has a specific purpose, and documentation plays a key role in completing each step. Throughout the process you must comply with a range of legislation.

You are required to:

  1. Identify each step in the six-step advice process.
  2. Explain the purpose of each of the steps in the six-step advice process.
  3. Identify onepiece of documentation that you will use to complete each step and explain why the document is required.
  4. For each step in the process, describe oneexample of an activity that is relevant to the step and consistent with legislation. Across the six steps, use at least fourdifferent sections of legislation and clearly align with your choice.


Task 3: The Code of Professional Conduct for Ïinancial Advice Services
  1. Standard 9 of the Code of Professional Conduct for Financial Advice Services (the Code) requires all advisers to undertake continuing professional development (CPD).

You are required to:

  1. Create a CPD plan. Alternatively, you may submit your current CPD plan, provided it meets the criteria set out below.
  2. The plan must include at least fiveactivities, which must be a combination of formal and self-directed learning.
  3. The plan must include the following information. Table format is preferred, but not compulsory:


Objective(whatyouareaiming toimprove)


Typeof Training (Ïormal orSelf-directed)
ÏormofTraining (forexample,:NZQA qualification, webinar,or conference)

Time (hours)


(200 words)

  1. Standards 1-5 set out the standards for client care and ethical behaviour.

For each of Standards 1-5, provide one example of how you comply with that standard in your role as an adviser.

If you are not an adviser, choose an adviser role from one of the following areas:

  • investments
  • life and health insurance
  • general insurance
  • residential property lending.
Task 4: Principles of professionalism

(250 words)

Read through case study – Tohutohu Mokete Limited (TML) (Appendix 1) before attempting this task.

You are required to:

  • Select sixprinciples of professionalism.
  • For each principle selected, provide an example from the case study (background information and transcript) that illustrates compliance with that principle.


(200 words)

For this task assume you are one of three directors at Aotearoa Financial Planning (AFP), a financial advice provider. You are all financial advisers and manage your own portfolio of clients. The business also employs 12 other financial advisers and nominated representatives, each with their own clients, and two support staff.

As directors, you are currently developing a good conduct strategy for the business. This will be based on the Financial Markets Authority’s five factors of Good Conduct profile.

For each of the five factors of Good Conduct you are required to:

  1. Identify the factor.
  2. Outline two processes or policies for AFP that support each factor.

(300 words)

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