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Follow the links below to find material targeted to the unit's elements, performance criteria, required skills and knowledge

Elements and Performance Criteria

1. Conduct analysis of financial market products
   • Analyse information provided on client‘s investment objectives
   • Identify a range of appropriate financial markets products that meet client’s objectives and investment strategy
   • Source and assess information relevant to the range of available financial products for currency and accuracy
   • Seek specialist advice if required for complex investment strategies
   • Apply appropriate analytical techniques and processes to identify facts, issues and patterns, interrelationships and trends
   • Accurately analyse trends to provide meaningful information on performance of financial products and markets
   • Conduct risk assessment of possible financial strategies and products identified through research and analysis processes
2. Provide information to inform decision making
   • Collate and review analyses to ensure accuracy and thoroughness, and present in an appropriate format, style and structure
   • Outline how financial market products meet client investment objectives and planned investment strategy
   • Ensure suggested products meet relevant legislative, industry and organisational requirements

Performance Evidence

Evidence of the ability to:

use appropriate techniques to identify financial products to meet client’s financial objectives and investment strategy

conduct analysis of a range of financial market products to provide effective information to use in investment decisions

interpret and comply with legislative and organisational requirements

test the integrity of financial information and assess the impact of trends on strategy and product performance

provide correct and up-to-date information on features and benefits of financial products and/or services.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

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Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

evaluate strategies for analysing client needs and gathering feedback

outline key information requirements needed from clients

explain the concept of a financial product, including general definitions and specific inclusions and exclusions

identify and outline a range of financial products and information sources

distinguish between the products and differentiate between their benefits and drawbacks

describe a range of techniques for evaluating information about financial market products

describe the key features of organisational policies and procedures relating to the analysis of financial market products for clients

describe the key features of relevant legal principles and compliance requirements

outline the main risks and implications associated with financial products and services

outline the key taxation issues in relation to the products and markets in which they operate

describe a range of financial market products and services.

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