End to End Advice Process Compliance Guide
Learn the compliance requirements at each step of the financial advice process
Course Curriculum
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Introduction
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Initial Engagement
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Information Gathering
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Advice Formulation & Documentation
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Advice Presentation & Acceptance
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Implementation
About this course
- $99.00
- 1 hour of video content
- 1 CPD Hour/Point
- Multiple Choice Assessment
- Delivery: Online, Self-paced
About this course
Our End to End Advice Process Compliance Guide short course provides you with a breakdown of the entire advice process. You'll discover what the common activities are at each step, what the compliance requirements are and most importantly - what compliance tools can help your financial planning practice ensure its meeting expectations
What you will learn
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What each step of the advice process is and what compliance requirements are for each step
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The key compliance tools, templates and checklists that can help you
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How you can feel confident your financial planning practice is both efficient and compliant
Who is this short course for?
• Financial Advisers • Financial Planning Practice Managers • Paraplanners • Responsible Managers • Client Support Representatives • Compliance Personnel and Consultants
Certification
You will be awarded a Certificate of Completion. It will be available online for you to download and print immediately
Course Preview
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Course Syllabus
Click here to get further information on the course. You will find the agenda, timetable of each session delivered, the facilitator qualifications and experience in financial services, learning outcomes and more
Frequently Asked Questions
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How are the CPD short courses assessed?
Our CPD short courses are assessed by a short open book multiple-choice exam
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When can I can enrol?
Our CPD short courses are 100% online, so you can start anytime, anywhere
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How do I enrol my team?
You can enrol your team online. Find the right course and make an online purchase or contact us directly via our enquire today form and the Total Advice Compliance team can easily arrange your team's training