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Investment Advice - Full Programme

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Price:
$2,270.00 +GST Non-member
$2,083.00 +GST Learning Partner
$1,891.00 +GST IBANZ Member

This enrolment leads to the Investment Advice strand of the New Zealand Certificate in Financial Services Level 5.

It is relevant to Advisers working to provide investment advice either as a self employed person or within a corporate environment, whom is not registered as an Authorised Finacial Adviser (AFA). 

The enrolment includes the Core Knowledge module +  Investment Advice module.  For those working it is expected to take 12-18 months part time.

This option includes the following Modules

Core Knowledge

Content 

 

This module provides an understanding of the level of professionalism required in the financial services industry. You will gain an understanding of the wider financial services environment and research fit for purpose financial or insurance solutions.  Details of the unit standards included in this module are shown below. (NZQA 40 Credits)

In order to gain the certificate in Financial Services Level 5 this module is a core compulsory component, ie it must be completed in conjunction with another module to complete the full qualification strand.

Your choice of strand will depend on your circumstances - you can see a full summary here. 

Assessment 

2 study guides are provided for these four unit standards, and the assessment is predominantly evidence based.

This means actual workplace examples of clients are used to demonstrate that you can put into practice the learning contained within the study guide.

Documents can be uploaded using the student dashboard function, scanned and email to your tutor, or posted to our offices. note that client names should be removed.

Approximate time frames for this module is 6.5 months.


Investment Advice Module

Content 

This module provides an understanding of investment concepts, as well as the regulatory and legislative environment in which they are required to operate. You will apply the principles of investment analysis through knowledge of products and services to provide client focused investment solutions. This module is compulsory for Authorised Financial Adviser status. (AFA)

Details of the unit standards included in this module are shown below. (NZQA 25 Credits) 

Assessment 

A study guide is provided for each unit standard along with an assessment document.

Assessment is by way of 3 written assessment documents which can be downloaded from your dashboard. 

Work can be completed either as a word document, or similar, or written. On completion work can be uploaded on your student dashboard for the tutor to assess.

Approximate time frames for this module is 4.7 months. 

 

Learning Units Included

Financial Services Best Practice and Professionalism

28363

 This unit standard is one of 4 that make up the Core Knowledge module. In this unit you will gain an understanding of:

  • Best practice and professionalism in respect of client care, ethical behaviour, and process
  • Common estate planning and taxation concepts 
  • The financial advice Six Step Process and its applicability in achieving appropriate solutions for clients 
Objectives
  • Demonstrate knowledge of and, where appropriate, comply with best practice and professionalism in respect of client care, ethical behaviour, and advice process.
  • Demonstrate understanding of the financial advice Six Step Process and its applicability in achieving appropriate solutions for clients.
  • Demonstrate understanding of common estate planning tools and taxation measures.


Regulatory Environment

28364

 This unit is one of 4 unit standards that make up the Core Knowledge module. In the unit you will gain an understanding of:

  • Regulatory environment and the impact on your daily work
  • The impact of legislation  on your daily work 
  • The categories of clients and applicable types of financial services 
  • The role and responsibilities in a complaint or dispute process
Objectives
  • Demonstrate understanding of the roles and responsibilities of participants in complaints and disputes handling processes.
  • Demonstrate understanding of different categories of clients and types of financial services.
  • Demonstrate understanding of the background to the regulatory environment, and identify the applicability and impact of legislation that is relevant in a broad financial services context.


Research and Analysis Processes

28365

This unit standard is one of 4 that make up the Core Knowledge module. In this unit you will gain an understanding of:

  • Research and analysis processes used in assessing, reviewing, or comparing a product, service, or solution, 
  • Conduct appropriate research to develop financial solutions. 
Objectives
  • To understand the processes involved in researching and analyzing financial products or services when reviewing or comparing financial products or services to find a fit for purpose solution.
  • To conduct research and analysis, to develop fit for purpose financial solutions, and to provide a supporting rationale for the identified solution.


The Economic Environment and Financial Markets

28366

This unit standard is one of 4 that make up the Core Knowledge module. In this unit you will gain an understanding of:

  • The role of financial markets and their participants,
  • The common products by which financial markets are accessed
  • The nature and factors that impact  the economic environment and the participants 
Objectives
  • To understand financial markets and systems
  • To understand and explain the factors that impact participants in the financial markets and systems
  • To recognise and understand common types of financial services and products used by consumers
  • To understand financial market participants


Investment Concepts and the Regulatory Environment

28375

This unit standard is one of 3 that make up the Investment module. In this unit you will gain an understanding of: 

  • Investment asset classes, financial instruments, and investment services
  • How asset classes, financial instruments and investment services are utilised in developing or implementing investment strategies
  • Portfolio construction techniques
  • The concept of investment risk and return and its relevance to developing or implementing investment strategies 
  • The legislative and regulatory framework applicable to the investment sector
Objectives
  • To understand investment risk and to evaluate processes and solutions for managing risk and return effectiveness
  • To explain and apply the legislative framework and Regulations in your daily work as a financial advisor
  • To construct portfolios using recognised portfolio management theories and approaches
  • To understand the types and characteristics of investment asset classes, financial instruments and investment services and to understand their performance effects in given economic environments


Investment Assets and Objectives

28376

This unit standard is one of 3 that make up the Investment module. In this unit you will gain an understanding of:

  • Investment assets and services
  • Financial and non-financial investment assets and services 
Objectives
  • Apply financial and non financial investment assets to meet the clients financial objectives
  • Learn about the features, benefits, risks and disadvantages of investment asset and services


Investment Analysis Techniques

28377
This unit standard is one of 3 that make up the Investment module. In this unit you will gain an understanding of: 
  • Quantitative analysis techniques and financial ratios used in investment valuation and management
  • Applying quantitative analysis to determine whether an analysed option meets predetermined requirements
  • Qualitative factors that may be relevant in investment analysis
Objectives
  • Understand and use quantitative analysis techniques to measure share performance, bond performance, property performance
  • Apply quantitative analysis techniques in a range of situations to evaluate the attributes, and to justify the pre determined outcomes
  • Learn about common quantitative analysis techniques used to manage and evaluate portfolio performance
  • Identify and understand qualitative factors that may be relevant in investment analysis


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