This subject focuses on the investment advice process in practice. It examines the portfolio theory and portfolio construction techniques. The subject explains how to evaluate and deliver quality investment advice to retail clients, the importance of researching and proposing investments, and determining reasonable basis for advice. Students will follow a fictitious case study to apply their understanding of asset classes, investment markets and tax when preparing a limited Statement of Advice. For more information, please refer to the subject outline.
Learning outcomes Subject Content CPD Duration Assessment Prerequisites Assumed knowledge Course transition subject equivalence Reading list Learning outcomes On successful completion of this subject, individuals should be able to: Evaluate investment advice processes and frameworks in the delivery of quality investment advice to retail investors. Analyse Efficient Market Hypothesis (EMH) with respect to the empirical evidence for it and its usefulness and applications for the provision of investment advice. Critically analyse a client’s investment objectives and constraints. Apply knowledge of asset classes, investment markets and tax in providing expert investment advice. Critically analyse the different investment structures and fund managers available to retail investors. Conduct appropriate quantitative and qualitative research in recommending suitable investment strategies and products. Evaluate the performance of investment advice as it relates to a client’s needs and objectives. Subject Content TopicTitle Topic 1The investment advice process in practice Topic 2Portfolio theory Topic 3Asset classes and investment markets Topic 4Investment vehicles, platforms and direct investment Topic 5Portfolio construction techniques Topic 6Fund manager styles and strategies Topic 7Fund manager selection Topic 8Tax issues in investment advice Topic 9Evaluate investment advice CPD Kaplan Professional has assessed this subject. Click here for the following CPD hours applicable from 1 January 2019 on successful completion of this course. For subjects or courses completed prior to this date, please contact Kaplan Professional’s CPD Support team on 1300 527 526 or pdmail@kaplan.edu.au. Duration The duration of this subject is one study period (12 weeks). Assessment Assessment TypeAssessedWeighting Assignment 1Week 420% Assignment 2Week 835% Assignment 3Week 1245% Click here for an assessment timetable. Prerequisites There are no prerequisites for this subject. However, individuals should review the ‘Assumed Knowledge’ tab to understand the prior knowledge Kaplan advises they should hold before enrolling in this subject. Assumed knowledge Whilst there are no prerequisites for this subject, Kaplan assumes that individuals have completed FPC001B Economic and Legal Context for Financial Planning , FPC002B Ethics and Professionalism in Financial Advice, FPC003 Superannuation and Retirement Advice, FPC004 Insurance Advice, FPC005 Estate and Succession Planning, FPC006 Tax and Commercial Law for Financial Planning and FPC007B Client Engagement Skills or understand the content covered in those subjects, prior to undertaking FPC008 Investment Advice. Course transition subject equivalence Individuals may not be required to complete this subject if they have transitioned from a SIA/Finsia/Kaplan course and have completed the following subjects: there are no equivalences for this subject. Reading list There is no prescribed text for this subject. Individuals are provided with key readings and access to Kaplan’s online databases. Individuals are encouraged to research and read widely on the topic.
Learn more about Master of Financial Planning, Graduate Diploma of Financial Planning, Graduate Certificate in Financial Planning >
This subject focuses on the investment advice process in practice. It examines the portfolio theory and portfolio construction techniques. The subject explains how to evaluate and deliver quality investment advice to retail clients, the importance of researching and proposing investments, and determining reasonable basis for advice. Students will follow a fictitious case study to apply their understanding of asset classes, investment markets and tax when preparing a limited Statement of Advice. For more information, please refer to the subject outline.
Learning outcomes Subject Content CPD Duration Assessment Prerequisites Assumed knowledge Course transition subject equivalence Reading list Learning outcomes On successful completion of this subject, individuals should be able to: Evaluate investment advice processes and frameworks in the delivery of quality investment advice to retail investors. Analyse Efficient Market Hypothesis (EMH) with respect to the empirical evidence for it and its usefulness and applications for the provision of investment advice. Critically analyse a client’s investment objectives and constraints. Apply knowledge of asset classes, investment markets and tax in providing expert investment advice. Critically analyse the different investment structures and fund managers available to retail investors. Conduct appropriate quantitative and qualitative research in recommending suitable investment strategies and products. Evaluate the performance of investment advice as it relates to a client’s needs and objectives. Subject Content TopicTitle Topic 1The investment advice process in practice Topic 2Portfolio theory Topic 3Asset classes and investment markets Topic 4Investment vehicles, platforms and direct investment Topic 5Portfolio construction techniques Topic 6Fund manager styles and strategies Topic 7Fund manager selection Topic 8Tax issues in investment advice Topic 9Evaluate investment advice CPD Kaplan Professional has assessed this subject. Click here for the following CPD hours applicable from 1 January 2019 on successful completion of this course. For subjects or courses completed prior to this date, please contact Kaplan Professional’s CPD Support team on 1300 527 526 or pdmail@kaplan.edu.au. Duration The duration of this subject is one study period (12 weeks). Assessment Assessment TypeAssessedWeighting Assignment 1Week 420% Assignment 2Week 835% Assignment 3Week 1245% Click here for an assessment timetable. Prerequisites There are no prerequisites for this subject. However, individuals should review the ‘Assumed Knowledge’ tab to understand the prior knowledge Kaplan advises they should hold before enrolling in this subject. Assumed knowledge Whilst there are no prerequisites for this subject, Kaplan assumes that individuals have completed FPC001B Economic and Legal Context for Financial Planning , FPC002B Ethics and Professionalism in Financial Advice, FPC003 Superannuation and Retirement Advice, FPC004 Insurance Advice, FPC005 Estate and Succession Planning, FPC006 Tax and Commercial Law for Financial Planning and FPC007B Client Engagement Skills or understand the content covered in those subjects, prior to undertaking FPC008 Investment Advice. Course transition subject equivalence Individuals may not be required to complete this subject if they have transitioned from a SIA/Finsia/Kaplan course and have completed the following subjects: there are no equivalences for this subject. Reading list There is no prescribed text for this subject. Individuals are provided with key readings and access to Kaplan’s online databases. Individuals are encouraged to research and read widely on the topic.
Learn more about Master of Financial Planning, Graduate Diploma of Financial Planning, Graduate Certificate in Financial Planning >