Investment and Financial Planning Project
Overview
This unit aims is to provide students with the knowledge of investment theories, strategies and instruments and their applications in construction of Statement of Advice. In particular, the unit focuses on the understanding and the applications of modern finance theories and how these theories influence investment planning decisions. Students will use relevant technologies and learn to construct and present a comprehensive Statement of Advice that fulfils the legal and ethical obligations of a financial advisor.
Requisites
Rule
FIN10003 Principles of Financial Planning
and either one of the following pair
Concurrent Pre-requisite
FIN30018 Management of Personal Financial Risk and FIN30019 Retirement and Estate Planning
OR
Concurrent Pre-requisite
FIN30022 Personal Financial Risk and Estate Planning and FIN30023 Retirement Planning
27-October-2024
08-June-2025
02-November-2025
Learning outcomes
Students who successfully complete this unit will be able to:
- Evaluate the role of the financial system and the various regulatory bodies, their functions, and the key participants in providing financial planning advice
- Identify appropriate investment opportunities such as the various financial markets and the characteristics and instruments traded on such markets
- Apply modern finance theories such as portfolio theory, efficient market hypothesis and behavioural finance, in order to determine how they impact investment decisions
- Construct and present a comprehensive Statement of Advice based on client’s objectives and constraints displaying the ethical responsibilities of a financial advisor
- Work effectively in teams
Teaching methods
Hawthorn
| Type | Hours per week | Number of weeks | Total (number of hours) |
|---|---|---|---|
| On-campus Class | 2.00 | 12 weeks | 24 |
| Online Lecture | 1.00 | 12 weeks | 12 |
| Unspecified Learning Activities (Phasing out) Independent Learning | 9.50 | 12 weeks | 114 |
| TOTAL | 150 |
Swinburne Online
| Type | Hours per week | Number of weeks | Total (number of hours) |
|---|---|---|---|
| Online Directed Online Learning and Independent Learning | 12.50 | 12 weeks | 150 |
| TOTAL | 150 |
Assessment
| Type | Task | Weighting | ULO's |
|---|---|---|---|
| Assignment | Group | 25 - 35% | 1,2,4,5 |
| Examination | Individual | 40 - 60% | 1,2,3 |
| Presentation | Group | 10 - 20% | 1,2,4,5 |
| Tutorial Exercises | Individual | 5 - 15% | 1,2,4 |
Content
- Equity and Debt markets
- Market efficiency and behavioural finance
- Portfolio theory and construction
- Portfolio risk management
- Managed funds
- Regulation of markets
- Research and identifying of Financial Planning products
- Using financial technology
- Development of a Statement of Advice
Study resources
Reading materials
A list of reading materials and/or required textbooks will be available in the Unit Outline on Canvas.