DFP Module 2 Workplace Simulation1703

DFP Module 2 Workplace Simulation1703
Diploma of Financial Planning
Module 2 Workplace Simulation
Submission Instructions:
Key steps that must be followed:
 Please complete the Declaration of Authenticity at the bottom of this page.
 Once you have completed all parts of the assessment and saved it (e.g. to your
desktop computer), login to the Monarch Learning Management System (LMS) to
submit your assessment.
 In the LMS, click on the file ”Submit DFP Module 2 workplace simulation” in the
Module 2 section of your course and upload your assessment file/s by following
the prompts.
 Please be sure to click “Continue” after clicking “submit”. This ensures your
assessor receives notification – very important!
Click here to go to the Monarch LMS
Declaration of Authenticity*
I certify that the attached material is my original work. No other person’s work has been used without due
acknowledgement. I understand that the work submitted may be reproduced and/or communicated for the purpose
of detecting plagiarism.
Student Name*: Date:
* I understand that by typing my name or inserting a digital signature into this box that I agree and am bound by the
above student declaration.

DFP Module 2 Workplace Simulation1703
Units: FNSINC401, FNSINC501, FNSASICT503, FNSASICW503, FNSASICV503, FNSFMK502, FNSFMK503, BSBITU402, FNSFPL506
Important assessment information
Aims of this assessment
This assessment covers the fundamentals of investment theory and application.
Research of specific ASX listed shares is required focussing on extracting key data points
such as share price, volume, market capitalisation, and PE multiples. The preparation of
performance data is covered, as is comparing individual performance against
benchmark indices using industry based research approaches. The use of Excel
spreadsheets to sort performance data to make decisions is explored. Comparing
investor risk profiles including an investor’s underlying investments against their life
stage is also covered. Rebalancing using strategic asset allocation decision making is
addressed. Different fund manager styles are explored, using industry focussed research
methods to compare and contrast their relative performance over time. Derivatives are
explored with a focus on options strategies including both European and American
options.
Marking and feedback
This assignment contains 4 assessment activities each containing specific instructions.
This particular assessment forms part of your overall assessment for the following units
of competency:
 FNSINC401
 FNSINC501
 FNSASICT503
 FNSASICW503
 FNSASICV503
 FNSFMK502
 FNSFMK503
 BSBITU402
 FNSFPL506
Grading for this assessment will be deemed “competent” or “not-yet-competent” in line
with specified educational standards under the Australian Qualifications Framework.

DFP Module 2 Workplace Simulation1703
Units: FNSINC401, FNSINC501, FNSASICT503, FNSASICW503, FNSASICV503, FNSFMK502, FNSFMK503, BSBITU402, FNSFPL506
What does “competent” mean?
These answers contain relevant and accurate information in response to the question/s
with limited serious errors in fact or application. If incorrect information is contained in
an answer, it must be fundamentally outweighed by the accurate information provided.
This will be assessed against a marking guide provided to assessors for their
determination.
What does “not-yet-competent” mean?
This occurs when an assessment does not meet the marking guide standards provided
to assessors. These answers either do not address the question specifically, or are
wrong from a legislative perspective, or are incorrectly applied. Answers that omit to
provide a response to any significant issue (where multiple issues must be addressed in
a question) may also be deemed not-yet-competent. Answers that have faulty
reasoning, a poor standard of expression or include plagiarism may also be deemed not-
yet-competent. Please note, additional information regarding Monarch’s plagiarism
policy is contained in the Student Information Guide which can be found here:
http://www.monarch.edu.au/student-info/
What happens if you are deemed not-yet-competent?
In the event you do not achieve competency by your assessor on this assessment, you
will be given one more opportunity to re-submit the assessment after consultation with
your Trainer/ Assessor. You will know your assessment is deemed ‘not-yet-competent’ if
your grade book in the Monarch LMS says “NYC” after you have received an email from
your assessor advising your assessment has been graded.
Important: It is your responsibility to ensure your assessment resubmission addresses all
areas deemed unsatisfactory by your assessor. Please note, if you are still unsuccessful
in meeting competency after resubmitting your assessment, you will be required to
repeat those units.
In the event that you have concerns about the assessment decision then you can refer
to our Complaints & Appeals process also contained within the Student Information
Guide.
Expectations from your assessor when answering different types of assessment
questions
Knowledge based questions:

DFP Module 2 Workplace Simulation1703
Units: FNSINC401, FNSINC501, FNSASICT503, FNSASICW503, FNSASICV503, FNSFMK502, FNSFMK503, BSBITU402, FNSFPL506
A knowledge based question requires you to clearly identify and cover the key subject
matter areas raised in the question in full as part of the response.
Skill based questions:
Where you are asked to write as though you are speaking to a client, your answers must
show your ability to:
 understand your client’s concerns/perspective/views
 show empathy
 display a professional response
 explain ideas clearly and simply so your client can understand the issues
Good luck
Finally, good luck with your learning and assessments and remember your trainers are
here to assist you 

DFP Module 2 Workplace Simulation1703
Units: FNSINC401, FNSINC501, FNSASICT503, FNSASICW503, FNSASICV503, FNSFMK502, FNSFMK503, BSBITU402, FNSFPL506
Assessment Activity 1
Research Project
Yahoo Finance – CBA
Activity instructions to candidates
 This is an open book assessment activity.
 You are required to read this assessment and answer all 10 questions that follow.
 Please type your answers in the spaces provided.
 Please ensure you have read “Important assessment information” at the front of this
assessment
 Estimated time for completion of this assessment activity: 4 hours

DFP Module 2 Workplace Simulation1703
Units: FNSINC401, FNSINC501, FNSASICT503, FNSASICW503, FNSASICV503, FNSFMK502, FNSFMK503, BSBITU402, FNSFPL506
Background
Belinda and James have a self-managed super fund. They are thinking of purchasing some
Commonwealth Bank shares (CBA) to include in their super fund. Belinda and James emailed you
asking if you can provide some information on CBA so they can make a decision as to whether or not
they will go ahead with the purchase of the CBA shares. You agree to conduct some research and
provide answers to their questions in readiness for your meeting with them scheduled for next
Monday.
Note: In many instances your dealer group (or licensee) can provide you with access to research
houses such as Lonsec, Morningstar etc where this information can be found easily. However, clients
don’t have access to this, so if you know how to access public information, you can always show
clients how to do it themselves.
Your task:
Use au.finance.yahoo.com to access the information your clients require about CBA shares.
We have provided you with step by step instructions about how to use finance.yahoo.com to access
this information. The instructions relate to Woolworths but you are required to follow the same
steps to access information about CBA.
Please save all parts to this assessment activity and upload these to the LMS when submitting your
assignment for grading.

DFP Module 2 Workplace Simulation1703
Units: FNSINC401, FNSINC501, FNSASICT503, FNSASICW503, FNSASICV503, FNSFMK502, FNSFMK503, BSBITU402, FNSFPL506
Required:
Follow the detailed instructions provided at the end of this assessment activity in order to complete
the following tasks:
1. Prepare the summary screen for CBA that shows information about CBA’s Last Trade,
Change in Price, Bid, Ask, Volume, Market Capitalisation, and P/E ratio. Copy the screenshot
such as using the Print Screen (PrtSc) function on your keyboard and paste it below:
2. Prepare the 3 key financial statements. Copy the screenshots for each of the three key
financial statements such as using the Print Screen (PrtSc) function on your keyboard and
paste it below:

DFP Module 2 Workplace Simulation1703
Units: FNSINC401, FNSINC501, FNSASICT503, FNSASICW503, FNSASICV503, FNSFMK502, FNSFMK503, BSBITU402, FNSFPL506