Function 3: Providing Customers with Information about Investments, Making Suitable Recommendations, Transferring Assets, and Maintaining Appropriate Records
This course is dedicated to equipping financial professionals with the knowledge and skills needed to effectively communicate with clients, provide suitable investment recommendations, and manage client assets in accordance with regulatory requirements.
Customer Communication and Investment Recommendations: Learn how to effectively communicate with clients about their investment options, assess their financial goals and risk tolerance, and make suitable investment recommendations tailored to their needs.
Transferring Assets: Explore the process of transferring client assets between accounts, including handling account transfers and managing regulatory requirements for transfers, such as ACATS (Automated Customer Account Transfer Service).
Maintaining Records: Understand the importance of maintaining accurate and compliant records of client transactions, communications, and account information, ensuring adherence to industry regulations and audit readiness.
This course is ideal for financial representatives and advisors who manage client relationships, make investment recommendations, and handle asset transfers, ensuring they remain compliant while providing top-tier client service.
