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FNSASIC503WB Provide advice in Securities
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This course contains approximately 240
hours (30 days) of courseware and assessment. A nominal time of 240 hours
means that the average adult with at least Year 12 (VCE) and little prior
knowledge could be expected to take 240 hours to complete this unit of
competency by itself. Since most of those who will enrol in this unit have
considerable prior knowledge, they will complete the material more quickly.
Students who have completed one of the
other ASIC units of competency will have satisfied the following competencies
contextualised to a different set of financial products and can therefore be
expected to complete the course more rapidly.
Students enrolled in this unit will be
enrolled in and co-assessed on
- FNSICCUS506B Determine
client requirements and expectations
- FNSICCUS507B Record and implement client instructions.
- FNSFMKT502B Analyse financial market products for client
- FNSFMKT503B Advise clients on financial risks.
Given the overlap in elements of competency
and skills and knowledge requirements, this adds minimal time to the course.
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This unit has been specifically designed
to, when combined with industry specified units, satisfy the skills
requirements of current Australian Securities and Investment Commission
(ASIC) regulation(Financial Services Reform Act) at Tier 1 (Diploma) level in
theDerivatives specialist and generic knowledge areas. The unit will be
changed in accordance with relevant changes to the legislation.
This unit is a co-requisite unit that
cannot be assessed or issued without first satisfying the industry specific
units identified in the Evidence Guide.
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This unit contains employability skills.
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This unit requires the application of
skills and knowledge required to provide advice in securities in accordance
with ASIC regulations.
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Industry Capability- ASIC Advisory Units
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ELEMENT
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PERFORMANCE
CRITERIA
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Related
Assessment Material
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1.1 A
range of communication and interpersonal skills are used to establish the
knowledge level of client
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All 10
assignments: a00s102t11L01-10 Securities : Clients 1-10, Q 2a-
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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1.2 Enquiries
in relation to products and services are responded to by explaining the range
of products and services available and their relevant fee and charging
methodology
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 3b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Specialist Knowledge Requirements:
Operation and Management of the Securities Industry
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1.3 Client
is informed of the role of the adviser and the licensee/principal
responsible for the adviser's conduct
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 3a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Generic Knowledge Point K1.6 and
under Specialist Knowledge Requirements: Legal Environment and Disclosure
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1.4 Familiarity
with the procedures for complaints handling and the circumstances in which
they should be engaged is demonstrated
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All 10 assignments: a00s102t11L01-10
Securities : Clients 1-10, Q 14
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
a40s104t01L14: Dispute resolution Q1-20
a40s104t01L15: Managing Conflicts of Interest Q1-20
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2.1 A
range of communication and interpersonal skills are used to gather clients'
personal, financial and business details
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All 10 assignments: a00s102t11L01-10
Securities : Clients 1-10, Q 2c
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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2.2 Clients
needs are identified by encouraging expression of their objectives and
goals (short, medium and long term goals as relevant to the product)
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 2c
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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2.3 Product
risk profile of the client is identified
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 7a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
A03s001t01l00: Types Of Risk
A03s001t01l01: Mismatch Risk Q1-11
A03s001t01l02: Inflation Q1-9
A03s001t01l03: Interest Rate: Reinvestment, Market
Volatility Q1-14
A03s001t01l04: Market Risk Q1-10
A03s001t01l05: Market Timing Q1-10
A03s001t01l06: Lack Of Diversification Q1-10
A03s001t01l07: Currency Q1-10
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2.4 Clients
expectations of cash flow and relevant taxation obligations are obtained
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 2c
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Generic Knowledge Point K1.4 and
under Specialist Knowledge Requirements: Taxation
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3.1 An
assessment of client needs is undertaken, utilising all information
gathered and taking into account clients product expectations and
specific needs
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 4a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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3.2 Clients
are consulted throughout the analysis for further clarification where
necessary
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 5b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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3.3 The
need for specialist advice is analysed and/or client is referred to
appropriate adviser for higher level/specialist advice if required
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 10
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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3.4 Product
risk profile of the client is assessed and agreed
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 7a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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3.5 Understanding
of the ASIC identified generic and specialist knowledge relevant to the
products being offered, as detailed in the Evidence Guide, is demonstrated
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 5d
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
Also see all
questions listed under Skills and Knowledge Requirements
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4.1 An
appropriate strategy to provide for identified needs and outcomes is
determined from analysis of products, client risk profile and assessment of
clients' needs
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 8a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See all
Assessment items (Questions) Listed below under Knowledge Requirements
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4.2 Relevant
research, analysis and product modelling is conducted
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All 10 assignments: a00s102t11L01-10
Securities : Clients 1-10, Q 6a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
A11s002t02l01:
Valuation Ratios Q1-10
A11s002t02l02:
Profit Margins Ratios Q1-10
A11s002t02l03:
Growth Rates Ratios Q1-10
A11s002t02l04:
Financial Strength Ratios Q1-10
A11s002t02l05:
Management Effectiveness Ratios Q1-10
See all
Assessment items (Questions) Listed below under Knowledge Requirements
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4.3 Appropriate
solution (plan, policy or transaction) is drafted for presentation to client
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 6c
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See all
Assessment items (Questions) Listed below under Knowledge Requirements
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5.1 Product
knowledge appropriate for the service or product offered is demonstrated when
presenting the product
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 8b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Specialist Knowledge Requirements:
Operation and Management of the Securities Industry and Small Funds
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5.2 The
proposed transaction is explained and discussed with the client in a clear
and unambiguous way
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 9b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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5.3 Relevant
details, terms and conditions of product/service are reinforced to client
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 9b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Specialist Knowledge Requirements:
Operation and Management of the Securities Industry and Small Funds
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5.4 Impacts
and possible risks of the solution are disclosed in a clear and concise
manner to the client
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 9c
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Specialist Knowledge Requirements:
Operation and Management of the Securities Industry and Small Funds
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5.5 Client
is provided with written supporting documentation and guided through
the key aspects of the documentation
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 9d
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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6.1 Concerns
and/or issues the client has regarding the proposed plan/policy/transaction
are discussed and clarified
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 9e
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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6.2 Confirmation
is sought from client that they understand the proposed
plan/policy/transaction
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All 10 assignments: a00s102t11L01-10
Securities : Clients 1-10, Q 11b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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7.1 The
clients' formal agreement to the proposed plan/policy/transaction is gained
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 11 a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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7.2 Associated
fee and cost structures are clearly explained and confirmation of
understanding gained from the client
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All 10
assignments: a00s102t11L01-10 Securities : Clients 1-10, Q 9a
See also
assessment Items (Questions) Listed under Specialist Knowledge Requirements:
Operation and Management of the Securities Industry
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7.3 Timeframes
for execution and processing are clearly explained and confirmation of
understanding gained from the client
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 9b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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8.1 Proposal
and all other statutory and transactional documents are completed and
signed off by the client
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 11b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Generic Knowledge Point K1.6 and
under Specialist Knowledge Requirements: Legal Environment and Disclosure
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8.2 Copies
of appropriate documentation and the signed agreement are exchanged
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 11b
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
See also
assessment Items (Questions) Listed under Generic Knowledge Point K1.6 and
under Specialist Knowledge Requirements: Legal Environment and Disclosure
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9.1 Type
and form of ongoing service including reporting on performance and review of
plan/policy/transaction is agreed with the client
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 11a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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9.2 Fees
and costs for ongoing and specifically defined service are clearly explained
and confirmation of understanding gained from the client
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All 10 assignments: a00s102t11L01-10
Securities : Clients 1-10, Q 9a
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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9.3 Ongoing
service is provided as required.
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All 10
assignments: a00s102t11L01-10 Securities : Clients 1-10, Q 12c
a00s102t33L09:
Securities: Client 10 Q -
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
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This describes the essential skills and
knowledge and their level, required for this unit.
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Skills
requirements
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Related
Assessment Items
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ability to perform completed needs
analysis
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a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 4a, 5b,7a
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analytical skills
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a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
A11s002t01l01:
Risk Vs Return Q1-5
A11s002t01l02:
Ratios Q1-10
A11s002t01l03:
Ratio Groups And Rules Q1-9
A11s002t01l04:
Understanding Ratio Tables Q1-10
A11s002t02l01:
Valuation Ratios Q1-10
A11s002t02l02:
Profit Margins Ratios Q1-10
A11s002t02l03:
Growth Rates Ratios Q1-10
A11s002t02l04:
Financial Strength Ratios Q1-10
A11s002t02l05:
Management Effectiveness Ratios Q1-10
A13s001t05l06: Problems With
Performance Measurement Q1-10
A13s001t05l07: Assessing The
Contribution Of Management Q1-10
Also see all questions listed under
Knowledge Requirements
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presentation skills
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a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 6c,8b
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customer negotiation skills
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a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 9a-e,11a, 11b
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ability to analyse information and
products to ensure appropriateness to client needs, currency and accuracy
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All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 6,8
a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
A11s002t01l01:
Risk Vs Return Q1-5
A11s002t01l02:
Ratios Q1-10
A11s002t01l03:
Ratio Groups And Rules Q1-9
A11s002t01l04:
Understanding Ratio Tables Q1-10
Also see all questions listed under
Knowledge Requirements
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effective interpersonal and communication
skills
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a00s102t12L01PT: Securities
Test 1 Q -
a00s102t12L02PT: Securities
Test 2 Q -
a00s102t12L03PT: Securities
Test 3 Q -
All 10 assignments:
a00s102t11L01-10 Securities : Clients 1-10, Q 2,8,9
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Knowledge requirements include:
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Knowledge
Requirement
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Resources/Assessment
ITems
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K1.1 generic knowledge about the economic
environment, the characteristics and impact of economic and business cycles,
including interest rates, exchange rates, inflation, and government monetary
and fiscal policies
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A20s000t01l01 Economics
Intro, Q1-14
A20s000t01l02 Domestic
Economy, Q1-28
A20s000t01l03 The World
Economy, Q1-12
A20s000t01l04 Economics At
The Industry Level, Q -11
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K1.2 generic knowledge about the operation
of financial markets, the roles played by intermediaries and issuers,
structure and inter-relationships within the financial markets, and
inter-relationship between industry sectors
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A10s032t16l00 Markets And
Securities Q1-15
a15s005t01L00 Securities,
Derivatives And Futures Markets
A03s001t01l06 Lack Of
Diversification Q1-10
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K1.3 generic knowledge about financial
products, including the concept of a financial product, general definition,
specific inclusions and exclusions, types of financial investment products,
types of financial risk products
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a15s005t01L01 Equities
a15s005t01L03 Futures
a15s005t01L04 Options On
Futures
a15s005t01L05 Warrants And
Other Derivatives
a15s005t01L06 Equities
Markets
a15s005t01L07 Options And
Derivatives Markets
a15s005t01L08 Futures
Markets
a15s005t01L09 Relationships
Between Markets
a15s005t01L10 Comparing
Risks
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K1.4 generic knowledge about the taxation
issues in relation to the products and markets in which they operate
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a25s001t01L01: The Australian Taxation Systems Q1-15
a25s001t01L02: Income Tax Q1-15
a25s001t01L03: Deductions Q1-14
a25s001t01L04: Rebates Q1-15
a25s001t01L05: Goods And Services Tax Q1-30
a25s001t01L06: Fringe Benefits Tax Q1-28
a25s001t01L07: Capital Gains Tax Q1-10
a25s001t01L08: Who Pays Income Tax Q1-27
a25s001t01L09: Tax And Derivatives Contributions
Q1-28
a25s001t01L10: Tax And Derivatives Benefits
a25s002t02L01: Shares Q1-30
a25s002t02L02: Real Estate Q1-30
a25s002t02L03: Interest Bearing Securities Q1-30
a25s002t02L04: Derivatives Q1-30
a25s002t02L05: Effects Of Taxation On Financial
Strategies Of Individuals And Entities Q1-30
a25s002t02L06: Salary Packaging Q1-30
a25s002t02L07: Derivatives Q1-30
a25s002t02L08: Fringe Benefits Q1-30
a25s002t02L09: Tax And Fixed Interest Markets Q1-30
a25s002t02L10: Tax And Managed Funds Q1-30
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K1.5 generic knowledge about advisory
functions, the role of the representative/adviser, participants in the
advisory services market, range of services provided, profile and financial
information of the client, appropriateness of a risk assessment
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A05s031t01l00: Contracts
A05s031t01l01: Contracts Q1-10
A05s031t01l02: Types Of Contracts Q1-11
A05s031t01l03: Terms Of Contracts Q1-10
A05s031t01l04: False And Misleading Information Q1-5
A05s031t01l05: Unfair Contracts Q1-8
A05s031t01l06: Broken Contracts Q1-7
A05s033t01l00: Agency
A05s033t01l01: Principal Q1-12
A05s033t01l02: Agent Q1-9
A05s033t01l03: Creating An Agency Q1-7
A05s033t01l05: Duties Of An Agent Q1-7
A05s033t01l06: Liability Of An Agent Q1-7
A05s033t01l07: Ending An Agency Q1-8
a40s104t01L00: Compliance
a40s104t01L01: An Introduction to Compliance Q1-15
a40s104t01L02: Legislation Overview – Financial
Services Reform Act 2001 Q1-20
a40s104t01L03: Legislation Overview – The Corporate
Law Q1-20
a40s104t01L04: Economic Reform Program Q1-20
a40s104t01L05: The Australian Stock Exchange (ASX)
Q1-20
a40s104t01L06: Regulators – ASIC Q1-20
a40s104t01L07: Regulators - APRA Q1-20
a40s104t01L08: Implementing Compliance Programs
AS3806 Q1-20
a40s104t01L09: Industry Codes of Practice Q1-20
a40s104t01L10: Competency Compliance: ASICs PS146
Q1-15
a40s104t01L11: AFS Licensing Q1-20
a40s104t01L12: Disclosure Q1-20
a40s104t01L13: Conduct Q1-20
a40s104t01L14: Dispute resolution Q1-20
a40s104t01L15: Managing Conflicts of Interest Q1-20
a40s104t01L16: Financial Requirements Q1-19
a40s104t01L17: Authorised Representatives Q1-19
a40s104t01L18: Responsible officers Q1-19
a40s104t01L19: Breach Reporting Q1-20
a40S105t01L01: What is money laundering Q1-10
a40S105t01L02: Existing Laws and the need for change
Q1-10
a40S105t01L03: Introduction to the new laws Q1-10
a40S105t01L04: The effect of the new laws Q1-20
a40S105t01L05: Anti Money laundering and counter
terrorism financing programs Q1-20
a40S105t01L06: Application of the new laws Q1-20
a40S105t01L07: Verification of the identity of an
existing customer Q1-15
a40S105t01L08: Reporting obligations Q1-20
a40S105t01L09: Reporting obligations 2 - transactions
and funds transfers Q1-20
a40S105t01L10: Reporting obligations 3 - Compliance
reports Q1-15
a40S105t01L11: Electronic Funds Transfer Instructions
1 - Key Concepts Q1-30
a40S105t01L12: Electronic Funds Transfer Instructions
2 - Obligations And Exceptions Q1-30
a40S105t01L13: Record-keeping Requirements Q1-30
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K1.6 generic knowledge about the legal
environment and disclosure and compliance, the role of the
representative/adviser, relevant legal principles (eg Corporations Act,
Financial Services Reform Act (FSRA), Trade Practices Act etc.), the relationship
between ethics and regulatory requirements (eg good faith, utmost good faith,
full disclosure of remuneration/fees and any other conflicts of interest
which may influence the adviser's recommendation)
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A05s031t01l00: Contracts
A05s031t01l01: Contracts Q1-10
A05s031t01l02: Types Of Contracts Q1-11
A05s031t01l03: Terms Of Contracts Q1-10
A05s031t01l04: False And Misleading Information Q1-5
A05s031t01l05: Unfair Contracts Q1-8
A05s031t01l06: Broken Contracts Q1-7
A05s033t01l00: Agency
A05s033t01l01: Principal Q1-12
A05s033t01l02: Agent Q1-9
A05s033t01l03: Creating An Agency Q1-7
A05s033t01l05: Duties Of An Agent Q1-7
A05s033t01l06: Liability Of An Agent Q1-7
A05s033t01l07: Ending An Agency Q1-8
a40s104t01L12: Disclosure Q1-20
a40s104t01L13: Conduct Q1-20
a40s104t01L14: Dispute resolution Q1-20
a40s104t01L15: Managing Conflicts of Interest Q1-20
|
|
K1.7 knowledge of relevant industry codes
of practice and conduct
|
a40s104t01L09: Industry Codes of Practice Q1-20
|
|
K1.8 knowledge of complaints resolution
procedures (internal and external)
|
a40s104t01L14: Dispute resolution Q1-20
|
|
K1.9 knowledge of regulators guidelines
including the requirements of ASIC policy statement 146
|
a40s104t01L00: Compliance
a40s104t01L01: An Introduction to Compliance Q1-15
a40s104t01L02: Legislation Overview – Financial
Services Reform Act 2001 Q1-20
a40s104t01L03: Legislation Overview – The Corporate
Law Q1-20
a40s104t01L04: Economic Reform Program Q1-20
a40s104t01L05: The Australian Stock Exchange (ASX)
Q1-20
a40s104t01L06: Regulators – ASIC Q1-20
a40s104t01L07: Regulators - APRA Q1-20
a40s104t01L08: Implementing Compliance Programs
AS3806 Q1-20
a40s104t01L09: Industry Codes of Practice Q1-20
a40s104t01L10: Competency Compliance: ASICs PS146
Q1-15
a40s104t01L11: AFS Licensing Q1-20
a40s104t01L12: Disclosure Q1-20
a40s104t01L13: Conduct Q1-20
a40s104t01L14: Dispute resolution Q1-20
a40s104t01L15: Managing Conflicts of Interest Q1-20
a40s104t01L16: Financial Requirements Q1-19
a40s104t01L17: Authorised Representatives Q1-19
a40s104t01L18: Responsible officers Q1-19
a40s104t01L19: Breach Reporting Q1-20
a40S105t01L01: What is money laundering Q1-10
a40S105t01L02: Existing Laws and the need for change
Q1-10
a40S105t01L03: Introduction to the new laws Q1-10
a40S105t01L04: The effect of the new laws Q1-20
a40S105t01L05: Anti Money laundering and counter
terrorism financing programs Q1-20
a40S105t01L06: Application of the new laws Q1-20
a40S105t01L07: Verification of the identity of an
existing customer Q1-15
a40S105t01L08: Reporting obligations Q1-20
a40S105t01L09: Reporting obligations 2 - transactions
and funds transfers Q1-20
a40S105t01L10: Reporting obligations 3 - Compliance
reports Q1-15
a40S105t01L11: Electronic Funds Transfer Instructions
1 - Key Concepts Q1-30
a40S105t01L12: Electronic Funds Transfer Instructions
2 - Obligations And Exceptions Q1-30
a40S105t01L13: Record-keeping Requirements Q1-30
|
|
Area
|
Knowledge
Requirement
|
Resources/Assessment
ITems
|
|
Operation of Securities
Markets:
|
market
participants
|
A10s032t16l00:
Markets And Securities Q1-15
A10s032t17l00:
Buying And Selling Shares Q1-14
A20s010t04l01:
Financial Institutions Q1-10
a20s010t04L02:
Exchanges Q1-10
a20s010t04L03:
Markets Q1-9
a20s010t04L04:
Settlement And Clearing Houses Q1-11
a20s010t04L05:
Electronic Systems Q1-na
a20s010t04L06:
Market Makers Q1-na
A21s001t03l04:
Clearing House And Open Interest Q1-10
A19s001t01l04:
Options – The Players Q1-6
|
|
|
roles played
by intermediaries
|
a20s010t04L07:
Brokers And Intermediaries Q1-9
a20s010t04L08: Fund Managers
Q1-10
A10s032t17l00: Buying And
Selling Shares Q1-14
A19s001t01l04:
Options – The Players Q1-6
|
|
Types of products:
|
range of
securities
|
A10s032t16l00:
Markets And Securities Q1-15
A15s006t02l01: Range Of
Securities/Futures Products Q1-10
|
|
associated
risks
|
A03s001t01l00: Types Of Risk
A03s001t01l01: Mismatch Risk
Q1-11
A03s001t01l02: Inflation Q1-9
A03s001t01l03: Interest Rate:
Reinvestment, Market Volatility Q1-14
A03s001t01l04: Market Risk
Q1-10
A03s001t01l05: Market Timing
Q1-10
A03s001t01l06: Lack Of
Diversification Q1-10
A03s001t01l07:
Currency Q1-10
A15s002t01l06: Options Q1-10
A15s002t01l07: Futures Risk
Q1-10
A15s002t01l08: Margin Loans
Q1-10
A18s001t01l04:
Risks Common To Warrants Q1-9
A19s001t01l06:
Options Risks: Consequences Q1-10
A19s001t01l08:
Option Risks - Volatility Q1-6
A19s001t01l09:
Option Risks - Odds Q1-10
|
|
investment
options using securities product
|
A15s006t02l07: Hedging With
Options Q1-10
A15s006t02l08: Hedging With
Futures Q1-10
|
|
alternative
products (eg derivatives) (where relevant)
|
A18s001t01l07:
Difference Between Warrants And Options Q1-10
A18s001t01l00:
Introduction To Warrants Q1-
A18s001t01l01:
Types Of Warrants Q1-16
A18s001t01l02:
Features Common To All Warrants Q1-13
A18s001t01l03:
Benefits Common To All Warrants Q1-20
A18s001t01l04:
Risks Common To Warrants Q1-9
A18s001t01l05:
Some Factors Affecting The Price Of Warrants Q1-15
A18s001t01l06:
Buying Warrants Q1-16
A19s001t01l01:
Types Of Options Q1-10
A19s001t01l02:
Writing And Taking Options Q1-11
A19s001t01l03:
Margin Calls Q1-8
A19s001t01l04:
Options – The Players Q1-6
A19s001t01l05:
Options – The Advantages Q1-5
A19s001t01l06:
Options Risks: Consequences Q1-10
A19s001t01l07:
Payoff Diagrams Q1-9
A19s001t01l08:
Option Risks - Volatility Q1-6
A19s001t01l09:
Option Risks - Odds Q1-10
A19s001t01l10:
Components Of A Contract Q1-8
A19s001t01l11:
Pricing Options Q1-10
A21s001t03l01:
Futures Contracts Q1-10
A21s001t03l02:
Futures Exchanges Q1-10
a21s001t03L03:
Sfe Business Rules Q1-9
A21s001t03l04:
Clearing House And Open Interest Q1-10
A21s001t03l05:
Margins Q1-7
A21s001t03l06:
Delivery Q1-10
A21s001t03l07:
Commodities Futures Q1-6
A21s001t03l08:
Stock Index Futures Q1-9
A21s001t03l09:
Other Types Of Futures Q1-10
A21s001t03l10: Futures And Risk
Q1-10
|
|
Theories of investment, portfolio
management and management of investment and risk:
|
• investment concepts
|
A13s001t05l01: Rational For
Portfolio Diversification Q1-10
A13s001t05l02: CAPM Model Q1-10
A13s001t05l03: Active And
Passive Portfolio Management Q1-10
A13s001t05l04: Portfolio
Construction Q1-10
A13s001t05l06: Problems With
Performance Measurement Q1-10
A13s001t05l07: Assessing The
Contribution Of Management Q1-10
A25s001t05l04: Diversification
And Portfolio Risk Q1-7
a25s001t05L05: Diversification,
International, Investment Types, Sectors Q1-10
A25s001t05l07: Portfolio
Valuation Q1-12
A15s006t02l01: Range Of
Securities/Futures Products Q1-10
A15s006t02l03: Portfolio Risk
Q1-10
A15s006t02l04: Risk Tolerance
And Asset Allocation Q1-10
A15s006t02l05: Diversification
And Portfolio Risk Q1-10
A15s006t02l06: Optimally Risky
Portfolios Q1-10
|
|
investment
strategies
|
A25s001t05l10: Hedging Q1-12
A25s001t05l11: Dollar Cost
Averaging Q1-11
A25s001t05l04: Diversification
And Portfolio Risk Q1-7
A13s001t05l03: Active And
Passive Portfolio Management Q1-10
A15s006t02l07: Hedging With
Options Q1-10
A15s006t02l08: Hedging With
Futures Q1-10
A15s006t02l09: Passive
Portfolio Management Q1-10
A15s006t02l10: Active Portfolio
Management Q1-10
|
|
identification
of types of risk
|
A13s001t05l05: Risk Adjusted
Performance Measures Q1-10
A25s001t05l04: Diversification
And Portfolio Risk Q1-7
A03s001t01l00: Types Of Risk
A03s001t01l01: Mismatch Risk
Q1-11
A03s001t01l02: Inflation Q1-9
A03s001t01l03: Interest Rate:
Reinvestment, Market Volatility Q1-14
A03s001t01l04: Market Risk
Q1-10
A03s001t01l05: Market Timing
Q1-10
A03s001t01l06: Lack Of
Diversification Q1-10
A03s001t01l07: Currency Q1-10
A15s002t01l00: Securities Risk
Q1-na
A15s002t01l01: Volatility Q1-10
a15s002t01L02: Liquidity Q1-na
A15s002t01l03: Short Selling
Q1-10
A15s002t01l04: Economic
Environment Q1-10
A15s002t01l05: Equities And
Industry Sectors Risk Q1-11
A15s002t01l06: Options Q1-10
A15s002t01l07: Futures Risk
Q1-10
A15s002t01l08: Margin Loans
Q1-10
a15s002t01L09: Hedging Q1-na
A15s002t01l10: Diversification
Q1-6
|
|
client risk
profile
|
A03s001t01l01:
Mismatch Risk Q1-11
|
|
Taxation:
|
awareness of
taxation issues relating to securities
|
a15s003t01L00:
Tax And Securities Q1-na
a15s003t01L01:
Imputation Q1-30
a15s003t01L02:
Capital Gains Tax Q1-30
a15s003t01L03:
Sales Tax Q1-30
a15s003t01L04:
Tax And Options Q1-30
a15s003t01L05:
Stamp Duty Q1-na
a15s003t01L06:
Realising Losses Q1-30
a15s003t01L07:
Dividends Q1-na
a15s003t01L08:
Employee Options & Share Schemes Q1-30
a15s003t01L09:
Offsetting Losses Q1-30
a15s003t01L10:
Capital Restructuring Q1-30
a25s002t02L01:
Shares Q1-30
a25s002t02L03:
Interest Bearing Securities Q1-30
a25s002t02L05:
Effects Of Taxation On Financial Strategies Of Individuals And Entities Q1-30
a25s002t02L07:
Superannuation Q1-na
a25s002t02L08:
Fringe Benefits Q1-30
a25s002t02L09:
Tax And Fixed Interest Markets Q1-30
a25s002t02L10:
Tax And Managed Funds Q1-30
|
|
Legal environment -
disclosure and compliance:
|
the role of
the representative/adviser
|
a40s104t01L10: Competency Compliance: ASICs PS146
Q1-15
a40s104t01L11: AFS Licensing Q1-20
a40s104t01L12: Disclosure Q1-20
a40s104t01L13: Conduct Q1-20
a40s104t01L14: Dispute resolution Q1-20
a40s104t01L15: Managing Conflicts of Interest Q1-20
a40s104t01L17: Authorised Representatives Q1-19
A03s001t01l01: Mismatch Risk Q1-11
|
|
|
relevant legal
principles (eg Corporations Act, ASIC Act, Privacy Amendment (Private Sector)
Act)
|
a40s104t01L00: Compliance
a40s104t01L01: An Introduction to Compliance Q1-15
a40s104t01L02: Legislation Overview – Financial Services
Reform Act 2001 Q1-20
a40s104t01L03: Legislation Overview – The Corporate Law
Q1-20
a40s104t01L04: Economic Reform Program Q1-20
a40s104t01L05: The Australian Stock Exchange (ASX) Q1-20
a40s104t01L06: Regulators – ASIC Q1-20
a40s104t01L07: Regulators - APRA Q1-20
a40s104t01L08: Implementing Compliance Programs AS3806
Q1-20
a40s104t01L10: Competency Compliance: ASICs PS146 Q1-15
a40s104t01L11: AFS Licensing Q1-20
a40s104t01L12: Disclosure Q1-20
a40s104t01L13: Conduct Q1-20
a40s104t01L16: Financial Requirements Q1-19
a40s104t01L17: Authorised Representatives Q1-19
a40s104t01L18: Responsible officers Q1-19
a40s104t01L19: Breach Reporting Q1-20
A05s031t01l00: Contracts
A05s031t01l01: Contracts Q1-10
A05s031t01l02: Types Of Contracts Q1-11
A05s031t01l03: Terms Of Contracts Q1-10
A05s031t01l04: False And Misleading Information Q1-5
A05s031t01l05: Unfair Contracts Q1-8
A05s031t01l06: Broken Contracts Q1-7
A05s033t01l00: Agency
A05s033t01l01: Principal Q1-12
A05s033t01l02: Agent Q1-9
A05s033t01l03: Creating An Agency Q1-7
A05s033t01l05: Duties Of An Agent Q1-7
A05s033t01l06: Liability Of An Agent Q1-7
A05s033t01l07: Ending An Agency Q1-8
|
|
|
the
relationship between ethics and regulatory requirements (eg good faith,
utmost good faith, full disclosure of remuneration/fees and any other
conflicts of interest which may influence the adviser)
|
a40s104t01L12: Disclosure Q1-20
a40s104t01L13: Conduct Q1-20
a40s104t01L14: Dispute resolution Q1-20
a40s104t01L15: Managing Conflicts of Interest Q1-20
a40s104t01L16: Financial Requirements Q1-19
a40s104t01L17: Authorised Representatives Q1-19
a40s104t01L18: Responsible officers Q1-19
a40s104t01L19: Breach Reporting Q1-20
|
|
|
relevant industry standards and codes of
conduct
|
a40s104t01L09: Industry Codes of
Practice Q1-20
|
|
|
regulators'
guidelines including our requirements in this policy
|
a40s104t01L00: Compliance
a40s104t01L01: An Introduction to Compliance Q1-15
a40s104t01L02: Legislation Overview – Financial Services
Reform Act 2001 Q1-20
a40s104t01L03: Legislation Overview – The Corporate Law
Q1-20
a40s104t01L04: Economic Reform Program Q1-20
a40s104t01L05: The Australian Stock Exchange (ASX) Q1-20
a40s104t01L06: Regulators – ASIC Q1-20
a40s104t01L07: Regulators - APRA Q1-20
a40s104t01L08: Implementing Compliance Programs AS3806
Q1-20
a40s104t01L09: Industry Codes of Practice Q1-20
a40s104t01L10: Competency Compliance: ASICs PS146 Q1-15
a40s104t01L11: AFS Licensing Q1-20
a40s104t01L12: Disclosure Q1-20
a40s104t01L13: Conduct Q1-20
a40s104t01L14: Dispute resolution Q1-20
a40s104t01L15: Managing Conflicts of Interest Q1-20
a40s104t01L16: Financial Requirements Q1-19
a40s104t01L17: Authorised Representatives Q1-19
a40s104t01L18: Responsible officers Q1-19
a40s104t01L19: Breach Reporting Q1-20
|
|
|
complaints
resolution procedures (external and, if relevant, internal)
|
A14s001t01l10:
Alternative Dispute Resolution Q1-12
a40s104t01L14:
Dispute resolution Q1-20
|
|
|
stockbroking
competency standards (where relevant)
|
|
|
|
Australian
Stock Exchange (ASX) Operating Rules (where relevant)
|
A07s002t01l01: Market Rules 7.1 -
Disclosure Q1-16
A07s002t01l02: Market Rules 7.3
Trading as Principal Q1-11
A07s002t01l03: Verification of
client details Q1-13
A07s002t01l04: Client Instructions
and Order Priority Q1-11
a09s030t01L01: Market Manipulation
Legislation Q1-10
A09s030t01l02: Fraudulent
Manipulation Q1-10
a09s030t01L03: Law regarding market
manipulation Q1-10
a09s030t01L04: Short Selling Q1-10
|
The range statement relates to the unit of
competency as a whole. It allows for different work environments and situations
that may affect performance. Bold italicised wording, if used in the
performance criteria, is detailed below. Essential operating conditions that
may be present with training and assessment (depending on the work situation,
needs of the candidate, accessibility of the item, and local industry and
regional contexts) may also be included.
|
Term
|
May
Include
|
|
|
- any representative of a licensee
- employee or owner
- all natural persons who provide financial product advice to retail clients
|
|
|
- risk factors and return expectations
- volatility of income and capital
- market and sector risks (economic cycle, fixed interest, property, stock market)
- access restrictions on product
- economic
- specific product risk
- borrowing risk/gearing
|
|
|
- beliefs about performance
- security
- conservative
- risk
- fluctuations in income and/or capital
- moderate
- speculator
- passive
- active
- long term or short term investor
|
|
|
- debt position
- security
- expectations of income from this product
- family income
- business needs
- expectations of access to product
- expectations of lifecycle and length of product
|
|
|
- computer and manual applications
- written advice
- disclaimers
- disclosures
- product application forms
|
|
|
- detail of the customer's needs and objectives for income,
- security,liquidity, and the time period the customer is planning for
- details of liabilities and potential liabilities of the customer
- individual investment preferences and aversion or tolerance to risk
- other customer details such as employment security, likely events and their impact on
the customer, age and other products they have
|
The evidence guide provides advice on
assessment and must be read in conjunction with the performance criteria,
required skills and knowledge, range statement and the Assessment Guidelines for
the Training Package.
|
Area
|
Training
Package Specification
|
Gryphon
Learning Implementation
|
|
|
To achieve competency in this unit, a
person must be able to demonstrate:
- knowledge of industry regulations and codes of practice, financial products and services, financial markets and characteristics, roles of other specialist providers and licensees, as well as the impacts of taxation on the clients financial requirements for the specific products offered
- for insurance products, competence in this unit is subject to the staff members' approval/authority to accept the transfer of risk
|
As students use Gryphon Learning's courseware to study,
they are presented with approximately 1,800 interactive questions allowing
them to self-assess their knowledge and skills in this area. The results of
these assessments are stored in Gryphon Learning's database, providing
evidence of towards the required competencies and knowledge.
To validate this evidence, students are required to sit
three supervised assessments involving assessment items drawn from those
listed above. Students who have "cheated" by allowing others to study using
their login would be most unlikely to satisfactorily complete the supervised
tests.
|
|
|
Competence in this unit must be assessed over a period of time in order to ensure consistency of performance over the Range Statement and contexts applicable to the work environment.
|
Under ASIC's Licensing rules, students who have not
already demonstrated competency in this unit are not permitted to advise
clients. Therefore, the assessment must involve a simulated environment.
Students are required to study the Topic a00s102t09
Managed Investment Clients. This involves interaction with 10 simulated
clients in a simulated work environment, and over 100 interactive assessment
items.
Students are also required to submit 3
emails describing the interpersonal skills appropriate for interacting with
the clients.
|
|
|
Prerequisites for this
unit have been obtained from standards within the securities industry sector,
with generic advice provisions. Customisation of these units should reflect
managed investments products.
Industry requirements to satisfy Tier 1 requirements are as follows:
- FNSICCUS506B Determine client requirements and expectations
- FNSICCUS507B Record and implement client instructions
- NSFMKT502B Analyse financial market products for client
- FNSFMKT503B Advise clients on financial risks
|
The assessments for this unit also allow students to
demonstrate the competencies, skills and knowledge requirements for the
Co-requisite and prerequisite units.
|
|
|
For valid and reliable
assessment of this unit, evidence should be gathered through a range of
methods to indicate consistent performance.
Assessment of this unit of
competence will usually include observation of processes and procedures, oral
and/or written questioning on underpinning knowledge and skills and other
methods as required.
|
Assessment involves emailed essays, a range of interactive
assessment items comprising both formative and summative assessment. Some of
these summative assessments are supervised.
As part of the assessment, information is provided using
Audio, Video, text and graphics. Student responses can involve
- Completion of simulated workplace documentation
- Completion of simulated processes
- Responses to multiple choice questions (e.g. clicking on
documents to be given to clients)
- Manipulating and organising items on screen
- Responses to True/False questions
- Pointing to significant areas on charts or graphs
|
|
|
- Assessment of performance
requirements in this unit should be undertaken within the financial services
industry context and should cover aspects of personal/financial
responsibility and accountability.
- Aspects of competency,
including the attainment of relevant knowledge and skills, may be assessed in
a relevant workplace, a closely simulated work environment, or other
appropriate means that clearly meet industry competency requirements.
- Registered Training
Organisations (RTOs) need to be mindful of the legislative obligations of
licensees, where ASIC have prescribed the opportunities where recognition of
current competence can be undertaken for these units.
|
See assessment items and courseware listed above.
Under ASIC's Licensing rules, students who have not already
demonstrated competency in this unit are not permitted to advise clients.
Therefore, the assessment must involve a simulated environment.
This unit of Competency is offered as part of a course
which is listed on the ASIC Training Register as Meeting the educational
requirements for the minimum requirements for Advising on Managed
investments.
To obtain a certificate stating students have met ASIC's
requirements, students must demonstrate that they currently have these
competencies. This complicates RPL. See the discussion of RPL in the
Gryphon Learning Training Strategies Manual.
|
|
|
Unless otherwise
specified, there are no significant resource implications for assessment of
this unit, apart from access to a relevant workplace or closely simulated
office environment and the use of a range of office equipment, technology and
consumables. These may include standard commercial computer hardware,
software, telephones, facsimiles, and other relevant office equipment.
|
To complete this unit, students need a computer with
adequate internet access. For minimum specifications see the Gryphon Learning
Training Strategies Manual.
Most students are currently working in the finance
industry (including those employed by Gryphon Learning), and therefore have
access to a range of relevant resources (including product documentation.)
Others have accessed such resources from a range of
sources, including their financial advisors, by subscription, using the
internet and, (under some circumstances, from Gryphon Learning.)
|
- Code of Practice
- Recognition of Prior Learning
- Continuous improvement
- Recognition of Prior Learning
- Equity and access
- Learning and assessment policy &procedure
- Resources
|
Topic
|
Lesson
|
|
A03s001t01Types
of risk
|
A03s001t01l00:
Types Of Risk
|
|
A03s001t01l01:
Mismatch Risk Q1-11
|
|
A03s001t01l02:
Inflation Q1-9
|
|
A03s001t01l03: Interest
Rate: Reinvestment, Market Volatility Q1-14
|
|
A03s001t01l04:
Market Risk Q1-10
|
|
A03s001t01l05:
Market Timing Q1-10
|
|
A03s001t01l06:
Lack Of Diversification Q1-10
|
|
A03s001t01l07:
Currency Q1-10
|
|
A05s031t01Contracts
|
A05s031t01l00:
Contracts
|
|
A05s031t01l01:
Contracts Q1-10
|
|
A05s031t01l02:
Types Of Contracts Q1-11
|
|
A05s031t01l03:
Terms Of Contracts Q1-10
|
|
A05s031t01l04:
False And Misleading Information Q1-5
|
|
A05s031t01l05:
Unfair Contracts Q1-8
|
|
A05s031t01l06:
Broken Contracts Q1-7
|
|
A05s033t01Agency
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A05s033t01l00:
Agency
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A05s033t01l01:
Principal Q1-12
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A05s033t01l02:
Agent Q1-9
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A05s033t01l03:
Creating An Agency Q1-7
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A05s033t01l05:
Duties Of An Agent Q1-7
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A05s033t01l06:
Liability Of An Agent Q1-7
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A05s033t01l07:
Ending An Agency Q1-8
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A10s032t16
Markets and
securities
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A10s032t16l00:
Markets And Securities Q1-15
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A13s001t01
Managed
Funds
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A13s001t01l00:
Managed Funds
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A13s001t01l01:
What Is A Managed Investment Q1-10
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A13s001t01l02:
Advantages And Disadvantages Of Managed Investments Q1-10
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A13s001t01l03:
Regulatory Environment Q1-10
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A13s001t01l04:
Types Of Managed Investments Q1-10
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A13s001t01l05:
Fee Structures Q1-10
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A13s001t01l06:
Tax And Social Security Implications of managed funds Q1-10
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A13s001t01l07:
Risk And Return Characteristics Of Underlying Investments Q1-10
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A13s001t01l08: Risk
And Return Characteristics Of Different Types Of Managed Funds Q1-7
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A13s001t02
Unit Trusts
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A13s001t02l00:
Unit Trusts
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A13s001t02l01:
Equity Trusts Q1-13
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A13s001t02l02:
Cash Management Trusts Q1-13
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A13s001t02l03: Property
Trusts Q1-9
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A13s001t02l04:
Mortgage Trusts Q1-10
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A13s001t02l05:
Public Securities (Fixed Interest Trusts) Q1-9
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A13s001t03
property
trusts;
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A13s001t03l00:
Property Trusts;
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A13s001t03l01:
Concepts Of Collective Rights Q1-10
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A13s001t03l02:
Real Estate Investment Strategies; Q1-10
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A13s001t03l03:
Valuation Techniques; Q1-10
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A13s001t03l04:
Property Management Q1-10
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A13s001t03l05:
Regulatory And Legal Obligations Q1-10
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A13s001t03l06:
Taxation Implications Q1-10
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a13s001t04
Other
managed funds
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a13s001t04L00:
Other Managed Funds
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a13s001t04L01:
Equity Trusts, Q1-10
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a13s001t04L02:
Fixed Interest Trusts Q1-10
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a13s001t04L03:
Serviced Strata Schemes Q1-10
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a13s001t04L04: Primary
Production Schemes Q1-10
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a13s001t04L05:
Film Schemes Q1-10
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a13s001t04L06:
Time-sharing Schemes Q1-10
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a15s003t01
Tax and
securities
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a15s003t01L01:
Imputation Q1-30
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a15s003t01L02:
Capital Gains Tax Q1-30
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a15s003t01L04:
Tax And Options Q1-30
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a15s003t01L06:
Realising Losses Q1-30
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a15s003t01L08:
Employee Options & Share Schemes Q1-30
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a15s003t01L09:
Offsetting Losses Q1-30
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a15s003t01L10:
Capital Restructuring Q1-30
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a15s005t01
Securities,
derivatives and futures markets
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a15s005t01L00:
Securities, Derivatives And Futures Markets Q1-
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a15s005t01L01:
Equities Q1-
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a15s005t01L03:
Futures Q1-
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a15s005t01L04:
Options On Futures Q1-
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a15s005t01L05: Warrants
And Other Derivatives Q1-
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a15s005t01L06:
Equities Markets Q1-
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a15s005t01L07:
Options And Derivatives Markets Q1-
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a15s005t01L08:
Futures Markets Q1-
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a15s005t01L09:
Relationships Between Markets Q1-
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a15s005t01L10:
Comparing Risks Q1-
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A20s000t01
Economics
introduction: Topic overview
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A20s000t01l01:
Economics Intro Q1-14
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A20s000t01l02:
Domestic Economy Q1-28
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A20s000t01l03:
The World Economy Q1-12
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A20s000t01l04:
Economics At The Industry Level Q1-11
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a25s001t01
Taxation
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a25s001t01L01:
The Australian Taxation Systems Q1-15
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a25s001t01L02:
Income Tax Q1-15
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a25s001t01L03:
Deductions Q1-14
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a25s001t01L04:
Rebates Q1-15
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a25s001t01L05:
Goods And Services Tax Q1-30
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a25s001t01L06:
Fringe Benefits Tax Q1-28
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a25s001t01L07:
Capital Gains Tax Q1-10
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a25s001t01L08:
Who Pays Income Tax Q1-27
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a25s001t01L09:
Tax And Superannuation Contributions Q1-28
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a25s001t01L10:
Tax And Superannuation Benefits
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a25s002t02
effects of
taxation on particular financial products
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a25s002t02L01:
Shares Q1-30
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a25s002t02L02:
Real Estate Q1-30
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a25s002t02L03:
Interest Bearing Securities Q1-30
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a25s002t02L04:
Managed Investments Q1-30
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a25s002t02L05:
Effects Of Taxation On Financial Strategies Of Individuals And Entities Q1-30
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a25s002t02L06:
Salary Packaging Q1-30
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a25s002t02L07:
Superannuation Q1-30
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a25s002t02L08:
Fringe Benefits Q1-30
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a25s002t02L09:
Tax And Fixed Interest Markets Q1-30
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a25s002t02L10:
Tax And Managed Funds Q1-30
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a40s104t01
Compliance
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a40s104t01L00:
Compliance
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a40s104t01L01:
An Introduction to Compliance Q1-15
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a40s104t01L02:
Legislation Overview - Financial Services Reform Act 2001 Q1-20
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a40s104t01L03:
Legislation Overview - The Corporate Law Q1-20
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a40s104t01L04:
Economic Reform Program Q1-20
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a40s104t01L05:
The Australian Stock Exchange (ASX) Q1-20
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a40s104t01L06:
Regulators - ASIC Q1-20
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a40s104t01L07:
Regulators - APRA Q1-20
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a40s104t01L08:
Implementing Compliance Programs AS3806 Q1-20
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a40s104t01L09:
Industry Codes of Practice Q1-20
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a40s104t01L10: Competency
Compliance: ASICs PS146 Q1-15
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a40s104t01L11:
AFS Licensing Q1-20
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a40s104t01L12:
Disclosure Q1-20
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a40s104t01L13:
Conduct Q1-20
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a40s104t01L14:
Dispute resolution Q1-20
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a40s104t01L15:
Managing Conflicts of Interest Q1-20
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a40s104t01L16:
Financial Requirements Q1-19
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a40s104t01L17:
Authorised Representatives Q1-19
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a40s104t01L18:
Responsible officers Q1-19
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a40s104t01L19:
Breach Reporting Q1-20
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a40S105t01
Anti Money
Laundering
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a40S105t01L01: What
is money laundering Q1-10
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a40S105t01L02:
Existing Laws and the need for change Q1-10
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a40S105t01L03:
Introduction to the new laws Q1-10
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a40S105t01L04:
The effect of the new laws Q1-20
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a40S105t01L05: Anti-money
laundering and counter terrorism financing programs Q1-20
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a40S105t01L06:
Application of the new laws Q1-20
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a40S105t01L07:
Verification of the identity of an existing customer Q1-15
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a40S105t01L08:
Reporting obligations Q1-20
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a40S105t01L09:
Reporting obligations 2 - transactions and funds transfers Q1-20
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a40S105t01L10:
Reporting obligations 3 - Compliance reports Q1-15
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a40S105t01L11:
Electronic Funds Transfer Instructions 1 - Key Concepts Q1-30
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a40S105t01L12:
Electronic Funds Transfer Instructions 2 - Obligations And Exceptions Q1-30
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a40S105t01L13:
Record-keeping Requirements Q1-30
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