Financial Services Overview



Get the ‘bigger picture’ of financial services by looking at the main role-players and market participants, considering the regulatory landscape and main laws that govern the sector; and obtaining an understanding of typical personal financial planning needs and how the sector caters for these needs.


Focus Area

  1. Identify the main role-players and market participants in the financial services industry, including their legal structure.
  2. Demonstrate an understanding of general legislation and codes of conduct applicable to the financial services industry.
  3.  Identify the general (risk and investment) financial needs of clients or groups of clients.

Who should register?

Financial advisors, Para-planners, Business owners

CPD information



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