Lesson 1 - Information Required by Regulation and Law
- Representatives are required to obtain certain information from their clients.
- Their investment recommendations shall be based on an in-depth analysis of specific information obtained from the client.
- The primary form that is used to collect this information is known as the New Client Application Form (NCAF).
- That form which provides a good foundation for dealing with clients will be the main subject of this lesson.
Lesson 2 - Going Beyond Regulatory and Legal Minimums
- The information required by regulation and law provides a good foundation for dealing with clients.
- However representatives who want to build comprehensive wealth plans for clients must go beyond the NCAF to get a better sense of the client’s goals, current financial situation, investment objectives (including return and risk), and constraints.
Lesson 3 - The Client Discovery Process
- A good conversation with client might establish both the profile of the client and the approach that will be taken by the representative.
- If comprehensive, a representative will not only be able to establish the goals, financial situation, objectives, and constraints, but also the services and products that will truly meet the needs of the client.
- However the representative must be as honest with the client as the client is with the representative.
Lesson 4 - Asking Good Questions
- Good questions keep the conversation moving in the direction the representative needs to go in order to gain a complete understanding of the client’s financial and personal situation.
Lesson 5 - Activities and Information Involving Clients' Portfolios
- Knowing your client is essential, it is also important to be familiar with your clients' portfolios and the support for management and follow up.
- This lesson initially describes monitoring methods based on their sensitive or risky nature and then describes methods that are prohibited to the representative and the firm.
To be eligible for the current two-year CE training cycle, a copy of your certificate should be sent directly to CSF and/or IQPF before November 30, 2009.
|Question Format||Multiple Choice|
|Questions Per Quiz||25|
|Enrolment Period||6 months|
* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.
Continuing Education (CE) Credits
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