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Elements and Performance Criteria

1. Obtain specialist investment advice
   • Source and retain specialist investment expertise required by organisation
   • Receive performance benchmarks from trustee
   • Provide specialists with information required to determine strategic options for investment
   • Establish investment procedure
   • Facilitate development of investment strategy
2. Manage investment compliance requirements
   • Identify legislation, regulations and compliance issues relating to investment
   • Assess investment strategy for compliance
   • Incorporate compliance issues and procedures into investment strategy
   • Establish performance outcomes
   • Undertake monitoring of compliance on ongoing basis
3. Implement investment strategy
   • Liaise with custodian and trustees to determine procedure to implement investment strategy
   • Manage transfer of funds to investment manager
   • Liaise with banks, custodians and trustees to facilitate strategy
   • Implement direct fund investments
4. Monitor and report on investment strategy
   • Prepare regular investment reports for trustee and investment managers, as required
   • Manage documentation of investment transactions
   • Monitor investment performance and report as required
   • Monitor compliance of investment strategy against relevant legislation, regulations and prudential standards
5. Evaluate investment strategy
   • Review and assess investment performance
   • Evaluate performance against trustee set benchmarks
   • Compare performance with industry indices and market conditions
   • Provide performance evaluation to trustee

Performance Evidence

Evidence of the ability to:

access relevant information and sources of specialist investment advice as required

manage investment compliance requirements and implement investment strategies

liaise with custodian and trustees to determine procedure to implement investment strategy and monitor, evaluate and report on the investment strategy.

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:

explain superannuation investment processes according to the needs indicated in trustee set benchmarks

discuss options for superannuation strategies

describe the key features of relevant legislation, regulations and codes of practice

outline the key features of administrative processes and systems, and documentation requirements for investment strategy development

describe a range of specialist investment services and investment vehicles

outline the key requirements of superannuation industry legislation for trustees and investment managers

outline contractual arrangements for specialist services

discuss risk management strategies.

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