Qualification Outline
Date retreived
22/07/2026 5:55 AM AWST
22/07/2026 5:55 AM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Diploma of Financial Markets
Diploma of Financial Markets
Qualification
National Code:
FNS51011
FNS51011
State Code:
D722
D722
TGA Status:
Replaced
Replaced
DTWD Status:
Replaced
Replaced
National Endorsed, State Implementation and Classification
Field of Education
0811 - Banking, Finance And Related Fields
Original TGA Release Date
18/07/2013
Approved Date
29/07/2014
Stream of Study
Initial Vocational (3100 - 3600)
VET Act Classifier
C
Nominal Hours
450
Duration
1 Semester
Current Release Number
4.00
Current Release Date
18/07/2013
VET Act Conditions
—
Releases
| Release Version | Release Date | TGA Status | DTWD Status |
|---|---|---|---|
| 4.00 | 18/07/2013 | Current | Approved |
Description
This qualification reflects job roles in financial markets involving duties in the areas of client advising, operations and dealing.
Schedule
Packaging Rules
9 units must be achieved:4 core units
plus 5 elective units.
3 elective units must be selected from the elective units listed below.
The remaining 2 elective units may be selected from the elective units listed below, any endorsed Training Package or accredited course. Elective units may be selected from a Certificate IV, Diploma or Advanced Diploma qualification.
Elective units must be relevant to the work outcome, local industry requirements and the qualification level.
Core units of competency:
FNSFMK501A Analyse financial markets and information
FNSINC401A Apply principles of professional practice to work in the financial services industry
FNSRSK502A Assess risks
BSBCOM406A Conduct work within a compliance framework
Elective units of competency:
Candidates wishing to specialise may select units from particular groups in the elective list.
Client advisory roles
FNSASICL503A Provide advice in the regulated emissions market
FNSASICS503A Provide advice in Foreign Exchange
FNSASICT503A Provide advice in Managed Investments
FNSASICV503A Provide advice in Derivatives
FNSASICW503A Provide advice in Securities
FNSCUS504A Manage premium customer relationships
FNSCUS505A Determine client requirements and expectations
FNSCUS506A Record and implement client instructions
FNSFMK502A Analyse financial market products for client
FNSFMK503A Advise clients on financial risk
FNSFMK512A Apply knowledge of emissions markets
FNSIAD501A Provide appropriate services, advice and products to clients
FNSIAD502A Provide appropriate and timely information and advice to clients
FNSINC501A Conduct product research to support recommendations
Operational roles
FNSFMK401A Reconcile financial transaction
FNSFMK504A Complete settlement and confirmation processes
FNSFMK506A Detect errors and fraud when processing financial transactions
FNSFMK507A Analyse risk mitigation in the operation process
FNSFMK508A Monitor and process collateral
Dealing room roles
FNSFMK601A Price financial transactions
FNSFMK602A Hedge financial products
FNSFMK509A Apply knowledge of transaction documentation and processing
FNSFMK510A Prepare trading strategies for clients
FNSFMK511A Apply limits when trading
1. Core Units
All four (4) units must be completed
| State Code | National Code | Title | Hours | Type |
|---|---|---|---|---|
| D4123 | FNSFMK501A | Analyse financial markets and information | 60 | Unit of competency |
| D4168 | FNSINC401A | Apply principles of professional practice to work in the financial services industry | 20 | Unit of competency |
| D4312 | FNSRSK502A | Assess risks | 40 | Unit of competency |
| WB895 | BSBCOM406A | Conduct work within a compliance framework | 30 | Unit of competency |
2. Elective Units
At least three (3) of the five (5) units required must be chosen from the elective units listed.
Please refer to the packaging rules for the full details of available options.
Replaces
| State Code | National Code | Title | Type |
|---|---|---|---|
| S726 | FNS51010 | Diploma of Financial Markets | Qualification |
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| AWC2 | FNS51015 | Diploma of Financial Markets | Qualification |
No information
Entry Requirements
Not applicable.
Traineeships and Apprenticeships