概要

Determining investment suitability for a client requires wealth managers to develop a number of skills – not least in designing and executing the process around suitability assessment. This eCourse sets out essential best practice in making such assessments in line with various regulatory requirements.

宗旨

On completion of this course, you will be able to:
- Identify the need for wealth management firms to conduct suitability assessments and their key obligations in that regard
- Recognize the role of client questionnaires when undertaking client profiling as part of a suitability assessment
- Identify the key considerations when attempting to match clients with suitable investments
- List the key elements of the full disclosure process whereby clients are provided with all relevant investment product documentation during the sales process
- Outline why suitability considerations are still relevant for firms when employing a robo-advisory platform

內容

Private Wealth Management – Suitability
Topic 1: Investment Suitability
Topic 2: Client Profiling
Topic 3: Product Classification & Matching
Topic 4: Full Disclosure
Topic 5: Robo-Advice & Suitability