EFB345 Managing Investments and Client Relationships
To view more information for this unit, select Unit Outline from the list below. Please note the teaching period for which the Unit Outline is relevant.
| Unit code: | EFB345 |
|---|---|
| Prerequisite(s): | EFB210 |
| Credit points: | 12 |
| Timetable | Details in HiQ, if available |
| Availabilities |
|
| CSP student contribution | $2,124 |
| Pre-2021 CSP student contribution | $1,663 The pre-2021 commonwealth supported place (CSP) contribution amount only applies to students enrolled in a course prior to 2021. To learn more, visit our Understanding your fees page. |
| Domestic tuition unit fee | $3,204 |
| International unit fee | $4,512 |
Unit Outline: Semester 1 2025, Gardens Point, Internal
| Unit code: | EFB345 |
|---|---|
| Credit points: | 12 |
| Pre-requisite: | EFB210 |
| Coordinator: | Gabbi Parle | g.parle@qut.edu.au |
Overview
A key component of financial planning advice is managing investments and relationships with clients. The purpose of this advanced unit is to build on the financial knowledge gained in earlier units in this major to develop and refine knowledge and skills for managing client investments, setting client investment goals and risk profiles, and managing client relationships. Students will practise communicating effectively with clients, demonstrating ethical and professional conduct.
Learning Outcomes
On successful completion of this unit you will be able to:
- Apply investment management knowledge and technical analysis skills to understand and analyse real world client contexts and problems. [KS 1.1, 1.2, HO 2.1]
- Exercise critical thinking, evaluation and judgement for effective evidence-based problem solving in the context of financial planning and investment management. [HO 2.1, 2.2]
- Use information literacy, written and oral communication skills to structure, present and resolve client-related financial planning issues effectively. [PC 3.1, 3.2]
- Demonstrate and apply knowledge of ethical and socially responsible investment strategies, practices, and responses to regulatory issues in a variety of contexts. [SE 5.2]Relates to: UG Business Capabilities: SE (5.2)
- Apply critical self-reflection skills to demonstrate accountability and responsibility for professional practice. [TS 4.1]Relates to: UG Business Capabilities: TS (4.1)
Content
In this unit, you will develop more advanced knowledge of Investment management and an understanding of client relationships. The content will include investment vehicles, Investment strategies, risk and returns from investing, asset and liability management, client risk profiling and goal setting, ethical and professional conduct, and interpersonal client communication.
QUT Business Capabilities (Undergraduate)
The content and assessment in this unit are aligned to a selection of the following set of QUT Business Capabilities, also known as Assurance of Learning Goals (AoLs). Developing these capabilities will assist you to meet the desired graduate outcomes set at QUT and equip you with the knowledge and skills to succeed in your chosen career.
Knowledge and Technological Skills (KS)
1.1 Demonstrate and apply integrated discipline (including technical) knowledge across the broad field of business with depth in one or more core business disciplines
1.2 Apply technical and technological skills appropriate and effective for real world business purposes and contexts.
Higher Order Thinking (HO)
2.1 Investigate real world business issues and situations through the effective analysis, evaluation and synthesis of theory and practice
2.2 Exercise independent judgment and initiative in adapting and applying knowledge and skills for effective planning, problem solving and decision making in diverse contexts.
Professional Communication (PC)
3.1 Use information literacy skills, and communicate effectively and professionally in written forms and using media appropriate for diverse purposes and contexts
3.2 Use information literacy skills, and communicate effectively and professionally in oral forms, appropriate for diverse purposes and contexts.
Teamwork and Self (TS)
4.1 Exercise self-reflection, responsibility and accountability in relation to own learning and professional practice.
4.2 Apply teamwork knowledge and skills for effective collaboration across diverse purposes and contexts
Social, Ethical and Global Understanding (SE)
5.1 Demonstrate and apply knowledge of ethical and legal principles and practices in analysing and responding to business issues
5.2 Demonstrate and apply knowledge of socially responsible behaviour in analysing and addressing business issues in national and international business contexts.
Learning Approaches
This unit consists of a weekly two hour lecture and one hour tutorial with tutorials providing the opportunity to discuss and apply the materials presented in the lecture. To provide a perspective of the decisions and challenges faced by financial planners, the unit will provide opportunities to apply the knowledge and skills to assessment items that mimic tasks typically performed by financial planners.
Feedback on Learning and Assessment
Students will receive feedback in various forms throughout the semester which may include:
- Informal: worked examples, such as verbal feedback in class, personal consultation
- Formal: in writing, such as checklists (e.g. criteria sheets), written commentary
- Direct: to individual students, either in written form or in consultation
- Indirect: to the whole class
Assessment
Overview
The assessment in this unit aims to support your achievement of the unit learning outcomes and course assurance of learning goals. The assessment has been designed in order to allow you to:
- Receive feedback on your learning as you progress toward the development of knowledge, understanding, skills and attitudes (formative assessment); and
- Demonstrate your learning in order to achieve a final grade (summative assessment).
Unit Grading Scheme
7- point scale
Assessment Tasks
Assessment: Client Interview
Students present the data and information they have gathered from the client to assist with developing an client investment plan.
Formative or Summative: Formative and Summative
Business Capabilities (AoL goals): HO (2.1), PC (3.2)
Assessment: Investment Planning Project
This project draws upon the client information students have gathered in Assessment 1 plus other documents provided by the client to develop a client investment plan. The assessment includes the delivery of the project to the client via a report which is accompanied by a short video, plus a critical self-reflection task.
This assignment is eligible for the 48-hour late submission period and assignment extensions.
Formative or Summative: Formative and Summative
Business Capabilities (AoL goals): KS (1.2), HO (2.2), PC (3.1, 3.2), TS (4.1), SE (5.2)
Assessment: Examination
A mix of analysis- and case-based problems which cover the semester's work.
Formative or Summative: Summative
Business Capabilities (AoL goals): KS (1.1), HO (2.1, 2.2), TS(4.1), SE (5.2)
This examination will be an invigilated face-to-face exam undertaken either on campus or at an examination centre.
Academic Integrity
Academic integrity is a commitment to undertaking academic work and assessment in a manner that is ethical, fair, honest, respectful and accountable.
The Academic Integrity Policy sets out the range of conduct that can be a failure to maintain the standards of academic integrity. This includes, cheating in exams, plagiarism, self-plagiarism, collusion and contract cheating. It also includes providing fraudulent or altered documentation in support of an academic concession application, for example an assignment extension or a deferred exam.
You are encouraged to make use of QUT’s learning support services, resources and tools to assure the academic integrity of your assessment. This includes the use of text matching software that may be available to assist with self-assessing your academic integrity as part of the assessment submission process.
Breaching QUT’s Academic Integrity Policy or engaging in conduct that may defeat or compromise the purpose of assessment can lead to a finding of student misconduct (Code of Conduct – Student) and result in the imposition of penalties under the Management of Student Misconduct Policy, ranging from a grade reduction to exclusion from QUT.
Resources
Resource Materials
Prescribed text(s)
Prescribed Text: Resources provided on Canvas
Reference: QUT readings
Risk Assessment Statement
There are no out-of-the-ordinary risks associated with lectures or tutorials in this unit. You should, however, familiarise yourself with evacuation procedures operating in the buildings in which you attend classes and take the time to
view the Emergency video.
Standards/Competencies
This unit is designed to support your development of the following standards\competencies.
QUT Business Capabilities (Undergraduate)
HO (2.1): Critical Analysis
Relates to: ULO1, ULO2, Client Interview, Examination
HO (2.2): Independent Judgement and Decision-Making
Relates to: ULO2, Investment Planning Project, Examination
KS (1.1): Discipline Knowledge
Relates to: ULO1, Examination
KS (1.2): Technical and Technological Skills
Relates to: ULO1, Investment Planning Project
PC (3.1): Professional Communication (Written)
Relates to: ULO3, Investment Planning Project
PC (3.2): Professional Communication (Oral)
Relates to: ULO3, Client Interview, Investment Planning Project
SE (5.2): Global Social Responsibility
Relates to: ULO4, Investment Planning Project, Examination
TS (4.1): Self-Reflection and Accountability
Relates to: ULO5, Investment Planning Project, Examination
Course Learning Outcomes
This unit is designed to support your development of the following course/study area learning outcomes.BS05 Bachelor of Business
- Demonstrate and apply integrated discipline (including technical) knowledge across the broad field of business with depth in one or more core business disciplines.
Relates to: ULO1, Examination - Demonstrate and apply knowledge of socially responsible behaviour in analysing and addressing business issues in national and international business contexts.
Relates to: ULO4, Investment Planning Project, Examination - Apply technical and technological skills appropriate and effective for real world business purposes and contexts.
Relates to: ULO1, Investment Planning Project - Investigate real world business issues and situations through the effective analysis, evaluation and synthesis of theory and practice.
Relates to: ULO1, ULO2, Client Interview, Examination - Exercise independent judgement and initiative in adapting and applying knowledge and skills for effective planning, problem solving and decision making in diverse contexts.
Relates to: ULO2, Investment Planning Project, Examination - Use information literacy skills, and communicate effectively and professionally in written forms and using media appropriate for diverse purposes and contexts.
Relates to: ULO3, Investment Planning Project - Use information literacy skills, and communicate effectively and professionally in oral forms, appropriate for diverse purposes and contexts.
Relates to: ULO3, Client Interview, Investment Planning Project - Exercise self-reflection, responsibility and accountability in relation to own learning and professional practice.
Relates to: ULO5, Investment Planning Project, Examination
Unit Outline: Semester 1 2025, Online
| Unit code: | EFB345 |
|---|---|
| Credit points: | 12 |
| Pre-requisite: | EFB210 |
Overview
A key component of financial planning advice is managing investments and relationships with clients. The purpose of this advanced unit is to build on the financial knowledge gained in earlier units in this major to develop and refine knowledge and skills for managing client investments, setting client investment goals and risk profiles, and managing client relationships. Students will practise communicating effectively with clients, demonstrating ethical and professional conduct.
Learning Outcomes
On successful completion of this unit you will be able to:
- Apply investment management knowledge and technical analysis skills to understand and analyse real world client contexts and problems. [KS 1.1, 1.2, HO 2.1]
- Exercise critical thinking, evaluation and judgement for effective evidence-based problem solving in the context of financial planning and investment management. [HO 2.1, 2.2]
- Use information literacy, written and oral communication skills to structure, present and resolve client-related financial planning issues effectively. [PC 3.1, 3.2]
- Demonstrate and apply knowledge of ethical and socially responsible investment strategies, practices, and responses to regulatory issues in a variety of contexts. [SE 5.2]Relates to: UG Business Capabilities: SE (5.2)
- Apply critical self-reflection skills to demonstrate accountability and responsibility for professional practice. [TS 4.1]Relates to: UG Business Capabilities: TS (4.1)
Content
In this unit, you will develop more advanced knowledge of Investment management and an understanding of client relationships. The content will include investment vehicles, Investment strategies, risk and returns from investing, asset and liability management, client risk profiling and goal setting, ethical and professional conduct, and interpersonal client communication.
QUT Business Capabilities (Undergraduate)
The content and assessment in this unit are aligned to a selection of the following set of QUT Business Capabilities, also known as Assurance of Learning Goals (AoLs). Developing these capabilities will assist you to meet the desired graduate outcomes set at QUT and equip you with the knowledge and skills to succeed in your chosen career.
Knowledge and Technological Skills (KS)
1.1 Demonstrate and apply integrated discipline (including technical) knowledge across the broad field of business with depth in one or more core business disciplines
1.2 Apply technical and technological skills appropriate and effective for real world business purposes and contexts.
Higher Order Thinking (HO)
2.1 Investigate real world business issues and situations through the effective analysis, evaluation and synthesis of theory and practice
2.2 Exercise independent judgment and initiative in adapting and applying knowledge and skills for effective planning, problem solving and decision making in diverse contexts.
Professional Communication (PC)
3.1 Use information literacy skills, and communicate effectively and professionally in written forms and using media appropriate for diverse purposes and contexts
3.2 Use information literacy skills, and communicate effectively and professionally in oral forms, appropriate for diverse purposes and contexts.
Teamwork and Self (TS)
4.1 Exercise self-reflection, responsibility and accountability in relation to own learning and professional practice.
4.2 Apply teamwork knowledge and skills for effective collaboration across diverse purposes and contexts
Social, Ethical and Global Understanding (SE)
5.1 Demonstrate and apply knowledge of ethical and legal principles and practices in analysing and responding to business issues
5.2 Demonstrate and apply knowledge of socially responsible behaviour in analysing and addressing business issues in national and international business contexts.
Learning Approaches
This unit consists of a weekly two hour lecture and one hour tutorial with tutorials providing the opportunity to discuss and apply the materials presented in the lecture. To provide a perspective of the decisions and challenges faced by financial planners, the unit will provide opportunities to apply the knowledge and skills to assessment items that mimic tasks typically performed by financial planners.
Feedback on Learning and Assessment
Students will receive feedback in various forms throughout the semester which may include:
- Informal: worked examples, such as verbal feedback in class, personal consultation
- Formal: in writing, such as checklists (e.g. criteria sheets), written commentary
- Direct: to individual students, either in written form or in consultation
- Indirect: to the whole class
Assessment
Overview
The assessment in this unit aims to support your achievement of the unit learning outcomes and course assurance of learning goals. The assessment has been designed in order to allow you to:
- Receive feedback on your learning as you progress toward the development of knowledge, understanding, skills and attitudes (formative assessment); and
- Demonstrate your learning in order to achieve a final grade (summative assessment).
Unit Grading Scheme
7- point scale
Assessment Tasks
Assessment: Client Interview
Students present the data and information they have gathered from the client to assist with developing an client investment plan.
Formative or Summative: Formative and Summative
Business Capabilities (AoL goals): HO (2.1), PC (3.2)
Assessment: Investment Planning Project
This project draws upon the client information students have gathered in Assessment 1 plus other documents provided by the client to develop a client investment plan. The assessment includes the delivery of the project to the client via a report which is accompanied by a short video, plus a critical self-reflection task.
This assignment is eligible for the 48-hour late submission period and assignment extensions.
Formative or Summative: Formative and Summative
Business Capabilities (AoL goals): KS (1.2), HO (2.2), PC (3.1, 3.2), TS (4.1), SE (5.2)
Assessment: Examination
A mix of analysis- and case-based problems which cover the semester's work.
Formative or Summative: Summative
Business Capabilities (AoL goals): KS (1.1), HO (2.1, 2.2), TS(4.1), SE (5.2)
This examination will be an invigilated face-to-face exam undertaken either on campus or at an examination centre.
Academic Integrity
Academic integrity is a commitment to undertaking academic work and assessment in a manner that is ethical, fair, honest, respectful and accountable.
The Academic Integrity Policy sets out the range of conduct that can be a failure to maintain the standards of academic integrity. This includes, cheating in exams, plagiarism, self-plagiarism, collusion and contract cheating. It also includes providing fraudulent or altered documentation in support of an academic concession application, for example an assignment extension or a deferred exam.
You are encouraged to make use of QUT’s learning support services, resources and tools to assure the academic integrity of your assessment. This includes the use of text matching software that may be available to assist with self-assessing your academic integrity as part of the assessment submission process.
Breaching QUT’s Academic Integrity Policy or engaging in conduct that may defeat or compromise the purpose of assessment can lead to a finding of student misconduct (Code of Conduct – Student) and result in the imposition of penalties under the Management of Student Misconduct Policy, ranging from a grade reduction to exclusion from QUT.
Resources
Resource Materials
Prescribed text(s)
Prescribed Text: Resources provided on Canvas
Reference: QUT readings
Risk Assessment Statement
There are no out-of-the-ordinary risks associated with lectures or tutorials in this unit. You should, however, familiarise yourself with evacuation procedures operating in the buildings in which you attend classes and take the time to
view the Emergency video.
Standards/Competencies
This unit is designed to support your development of the following standards\competencies.
QUT Business Capabilities (Undergraduate)
HO (2.1): Critical Analysis
Relates to: ULO1, ULO2, Client Interview, Examination
HO (2.2): Independent Judgement and Decision-Making
Relates to: ULO2, Investment Planning Project, Examination
KS (1.1): Discipline Knowledge
Relates to: ULO1, Examination
KS (1.2): Technical and Technological Skills
Relates to: ULO1, Investment Planning Project
PC (3.1): Professional Communication (Written)
Relates to: ULO3, Investment Planning Project
PC (3.2): Professional Communication (Oral)
Relates to: ULO3, Client Interview, Investment Planning Project
SE (5.2): Global Social Responsibility
Relates to: ULO4, Investment Planning Project, Examination
TS (4.1): Self-Reflection and Accountability
Relates to: ULO5, Investment Planning Project, Examination
Course Learning Outcomes
This unit is designed to support your development of the following course/study area learning outcomes.BS05 Bachelor of Business
- Demonstrate and apply integrated discipline (including technical) knowledge across the broad field of business with depth in one or more core business disciplines.
Relates to: ULO1, Examination - Demonstrate and apply knowledge of socially responsible behaviour in analysing and addressing business issues in national and international business contexts.
Relates to: ULO4, Investment Planning Project, Examination - Apply technical and technological skills appropriate and effective for real world business purposes and contexts.
Relates to: ULO1, Investment Planning Project - Investigate real world business issues and situations through the effective analysis, evaluation and synthesis of theory and practice.
Relates to: ULO1, ULO2, Client Interview, Examination - Exercise independent judgement and initiative in adapting and applying knowledge and skills for effective planning, problem solving and decision making in diverse contexts.
Relates to: ULO2, Investment Planning Project, Examination - Use information literacy skills, and communicate effectively and professionally in written forms and using media appropriate for diverse purposes and contexts.
Relates to: ULO3, Investment Planning Project - Use information literacy skills, and communicate effectively and professionally in oral forms, appropriate for diverse purposes and contexts.
Relates to: ULO3, Client Interview, Investment Planning Project - Exercise self-reflection, responsibility and accountability in relation to own learning and professional practice.
Relates to: ULO5, Investment Planning Project, Examination