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COURSE DESCRIPTION

  • The range of financial products within the class of business
  • Terms and features of financial products
  • Fee structures, changes and other associated costs 
  • General risks associated with investing, purchasing or transacting
  • Investment and risk principles
  • The role players or market participants including their legal structure
  • The impact of applicable legislation, including taxation laws
  • The impact of applicable economic and environmental factors
  • The industry standards and codes of conduct relevant to the class of business

WHO SHOULD REGISTER?

Key Individuals and Representatives who are appointed or existing KI’s and Rep’s who are under supervision in a particular sub category.


ADMISSION REQUIREMENTS

None

LEARNING OBJECTIVES

Class of business training where appropriate will include:

  • the range of financial products within the class of business
  • the general characteristics, terms and features of financial products in the class of business and any specialist characteristics, terms and features in respect of financial products in the class of business
  • the typical fee structures, charges and other costs associated with products in the class of business
  • general risks associated with investing, purchasing or transacting in the products in the class of business
  • investment and risk principles, options and strategies in respect of products in the class of business
  • the appropriateness of different products or product features in the class of business for different types of clients or groups of clients
  • the typical role players or market participants in respect of products in the class of business including their legal structure
  • the impact of applicable legislation including taxation laws on products in the class of business
  • the impact of applicable economic and environmental factors such as:
    • the economic and business environment and cycles
    • inflation
    • government monetary and fiscal policies
    • interest rates and exchange rates on the products in the class of business and the performance of those products
  • any inter-relationship within and between particular classes of business
  • industry standards and codes of conduct relevant to the class of business

COURSE MODULES

  • Course Overview
  • Risk Products
  • Investment Policies
  • Analyzing the Client's Risk Need