Are you a financial planner?
Do you rely on your Executive Assistance (EA), Personal Assistance (PA) or office administrator to help you provide your services to clients?
This course will help your assistants support you in the provision of financial services in an efficient and compliant manner. The focus will be on the documentation of advice and the execution of recommendations. A detailed manual will be provided.
Currently, this course is not a public seminar course. Rather, it aims to provide staff of an organisation with a relevant and practical course tailored to the organisation's specific circumstances.
Training Outcomes
As a result of this course, the participants should be able to:
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identify which advice documents are appropriate for particular situations;
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develop checklists, complete documents accurately, make effective file notes;
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identify areas of regulatory and other risks (eg litigation) arising from the provision of financial services to clients;
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explain the regulatory restrictions facing administrative non-advisory staff;
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distinguish between criminal and civil law and the relevance to the provision of financial services;
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implement strategies to enhance time management skills;
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explain the relevance of specific laws (negligence, contract, misleading and deceptive conduct, AML/CTF, privacy) to a financial planning business/licensee;
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explain key regulatory obligations in relation to the provision of financial services;
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explain the authorisations under their licensee’s AFS Licence;
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identify the sources of Australian law;
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explain the role of Regulators and other industry stakeholders such as - Responsible Entities, Trustees, Fund Managers, Insurers, Stockbrokers, Liquidators, etc.
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develop strategies for more effective communication with clients and within the office.
Contact us
Contact us now if you are interested in the Assistants to Financial Planners course for your organisation or if you would like furer information.
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