Wealth Management (Level 3)" is focusing on intricate aspects of investment planning, client advisory services, and fiduciary duties within the wealth management landscape. Participants will delve into key stages of investment planning, including defining investment objectives and strategies, understanding fiduciary duties, disclosing material information, and navigating conflicts of interest. The course also covers various investment vehicles and products, emphasizing collective investments, structured investments, and the regulatory frameworks governing them.
List the key stages in investment planning and determining investment objectives and strategy.
Define the terms of business and client agreements.
Explain the meaning of execution-only sales.
Recognize the extent of an adviser’s duty to disclose material information about a recommended investment.
Identify the concept of a conflict of interest..
List the characteristics of types of investment products.
Experienced Wealth Managers=Financial Advisors and Planners:=Investment Professionals=Compliance Officers and Regulators
