The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!
From the Wiki University
What evidence can you provide to prove your understanding of each of the following citeria?
Develop awareness of clients’ situation
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Obtain relevant facts and information courteously and professionally to determine clients’ situation prior to defining their expectations, requirements and objectives Completed |
Evidence:
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Encourage clients to disclose relevant information to determine their personal and financial situation and special needs Completed |
Evidence:
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Develop summary analysis of clients’ financial position and determine their contact category based on extent of client disclosure Completed |
Evidence:
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Determine if clients require execution or settlement only action and, if that is the case, do not offer or provide further advice Completed |
Evidence:
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Obtain relevant knowledge of clients’ financial position and risk profile
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Ascertain client s’ financial position where relevant Completed |
Evidence:
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Identify risk and fraud indicators accurately and consistently Completed |
Evidence:
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Determine client expectations and requirements with respect to financial markets advice
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Encourage clients to express and clarify their requirements, expectations and concerns, and respond promptly and appropriately to any identified concerns Completed |
Evidence:
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Determine clients’ investment needs and preferences with respect to financial product selection or portfolio Completed |
Evidence:
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Obtain specialist advice where necessary or refer clients to appropriate personnel or organisation if required services are not available or cannot be provided Completed |
Evidence:
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Analyse all information and facts provided by clients and determine appropriate risk or reward and asset allocation strategies in accordance with client requirements, organisational policy and guidelines, and relevant legislation or industry codes of practice Completed |
Evidence:
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Prepare and update necessary documentation
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Complete all relevant client facts, financial and personal histories and disclosure documents, and file in accordance with organisational policy and guidelines and relevant legislation and regulatory requirements Completed |
Evidence:
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Create or update client records where necessary, and file client documentation and information in a format and location readily accessible to other advisers Completed |
Evidence:
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Develop awareness of clients’ situation
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Obtain relevant facts and information courteously and professionally to determine clients’ situation prior to defining their expectations, requirements and objectives Completed |
Evidence:
|
Encourage clients to disclose relevant information to determine their personal and financial situation and special needs Completed |
Evidence:
|
Develop summary analysis of clients’ financial position and determine their contact category based on extent of client disclosure Completed |
Evidence:
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Determine if clients require execution or settlement only action and, if that is the case, do not offer or provide further advice Completed |
Evidence:
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Obtain relevant knowledge of clients’ financial position and risk profile
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|
Ascertain client s’ financial position where relevant Completed |
Evidence:
|
Identify risk and fraud indicators accurately and consistently Completed |
Evidence:
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