Providing Investment Advice

Master the skills needed to provide sound investment advice with Financial Regulation Courses (FRC). Learn to assess client needs, apply financial planning principles, and offer tailored investment solutions.

Category in Advisory
Created by Financial Regulation Courses



Providing Investment Advice


Financial Regulation Courses (FRC)


Overview


The Providing Investment Advice course, offered by Financial Regulation Courses (FRC), offers a comprehensive guide to advising clients on investments, focusing on building strong client relationships, assessing financial needs, and matching clients with appropriate investment solutions.
Learners will explore the principles of affordability and suitability, the regulatory framework governing financial advice, and best practices for maintaining ethical standards in client interactions.
This course ensures that participants are equipped with the skills to provide sound, personalised investment advice, taking into account the client's financial situation, risk tolerance, and long-term goals.


Learning Objectives


By the end of this course, learners will:


  • Understand the importance of building and maintaining a strong client relationship.

  • Learn how to gather and assess information from clients to offer suitable investment solutions.

  • Master the financial planning process, including how to assess clients' affordability and suitability.

  • Explore the principles of Treating Customers Fairly (TCF) and understand their role in investment advice.

  • Identify the regulatory requirements for providing financial advice, including monitoring and review processes.

  • Develop strategies for matching clients' needs with the appropriate investment products.

  • Understand the role of ESG and Socially Responsible Investments (SRI) in providing investment advice.

  • Learn to navigate the ethical considerations involved in providing advice on unregulated retail products.


Learning Outcomes


Upon successful completion of the course, learners will:


  • Be able to advise clients on suitable investment products based on a thorough assessment of their financial situation and goals.

  • Demonstrate proficiency in the financial planning process, including assessing client affordability, suitability, and risk tolerance.

  • Apply ethical principles and adhere to regulatory requirements in providing investment advice.

  • Develop client-focused investment strategies that align with ESG and SRI considerations.

  • Conduct ongoing monitoring and review of client portfolios to ensure they remain aligned with clients' evolving needs.

  • Confidently provide advice on unregulated retail products, ensuring clients understand the risks involved.

£199.99

Interest Free Payment Plans

This Text course includes:
Downloadable content
Video Available
Estimated Duration :
8:19 Hours
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Professional Profile

Showcase your expertise and credibility with Financial Regulation Courses’ professional business profile, tailored for finance professionals. Build client trust and highlight your integrity, perfect for networking and corporate engagements.

Certificate of Completion

Upon successfully completing your course and passing the proctored examination, you will be awarded a certificate of completion from Financial Regulation Courses, recognised for its excellence and value in the industry.














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