Overview
This capstone unit applies prior knowledge to produce a statement of advice for a real world case study. You will conduct an initial client interview, research and develop a wealth strategy and learn to present a financial plan to a client. You also gain insights into management of client relationships.
Details
Pre-requisites or Co-requisites
Pre-requisites - FINC11001 and FINC19011 and LAWS19033 Co-requisites:- FINC19012 and FINC19016 and FINC13001
Important note: Students enrolled in a subsequent unit who failed their pre-requisite unit, should drop the subsequent unit before the census date or within 10 working days of Fail grade notification. Students who do not drop the unit in this timeframe cannot later drop the unit without academic and financial liability. See details in the Assessment Policy and Procedure (Higher Education Coursework).
Offerings For Term 2 - 2026
Attendance Requirements
All on-campus students are expected to attend scheduled classes - in some units, these classes are identified as a mandatory (pass/fail) component and attendance is compulsory. International students, on a student visa, must maintain a full time study load and meet both attendance and academic progress requirements in each study period (satisfactory attendance for International students is defined as maintaining at least an 80% attendance record).
All University policies are available on the CQUniversity Policy site.
You may wish to view these policies:
- Grades and Results Policy
- Assessment Policy and Procedure (Higher Education Coursework)
- Review of Grade Procedure
- Student Academic Integrity Policy and Procedure
- Monitoring Academic Progress (MAP) Policy and Procedure - Domestic Students
- Monitoring Academic Progress (MAP) Policy and Procedure - International Students
- Student Refund and Credit Balance Policy and Procedure
- Student Feedback - Compliments and Complaints Policy and Procedure
- Information and Communications Technology Acceptable Use Policy and Procedure
This list is not an exhaustive list of all University policies. The full list of University policies are available on the CQUniversity Policy site.
Feedback, Recommendations and Responses
Every unit is reviewed for enhancement each year. At the most recent review, the following staff and student feedback items were identified and recommendations were made.
Feedback from Student Evaluation Survey
Feedback from a student working in the industry, who felt the current template is overly detailed and includes information no longer required.
Review the SOA template to eliminate redundant details while retaining sufficient information for its role as a teaching tool. The template does not need to be fully industry-compliant at the undergraduate level. However, The current SOA template is designed as a teaching tool, enabling students to understand the structure, reasoning, and compliance considerations behind advice documents. This approach ensures students develop foundational skills in critical thinking and advice formulation before moving on to automated systems.
Feedback from Student Evaluation Survey
Feedback from a student asks that programs like XPlan and Midwinter should be used to generate the whole SOA, and this is maybe something that the unit could incorporate rather than a full word doc template.
Continue to use Midwinter in a limited capacity for product research and data analysis. While these platforms are widely used in industry and provide comprehensive functionality, incorporating full SOA generation at the undergraduate level would be too advanced and may shift the focus away from the core learning objectives of the unit.
Feedback from Student Evaluation Survey
One respondent appreciated receiving assessment feedback during the term and prior to the submission date, noting that it made a significant difference to know they could reach out and receive helpful guidance when needed.
Continue providing assessment feedback throughout the term and before submission deadlines via Zoom workshops and one-on-one consultations, rather than limiting feedback to the final grading stage.