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 an awareness of the client's situation
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Relevant facts and information are obtained courteously and professionally to determine client's situation prior to defining their expectations, requirements and objectives Completed |
Evidence:
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Clients are encouraged to disclose relevant information to determine their personal and financial situation and special needs Completed |
Evidence:
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Summary analysis of client's financial position is developed and the client contact categorised based on extent of client disclosure Completed |
Evidence:
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Further advice is not offered or provided if client is categorised as requiring execution or settlement-only action Completed |
Evidence:
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Obtain relevant knowledge of client's financial position and risk profile
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Where relevant, client financial position is ascertained Completed |
Evidence:
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Risk and fraud indicators are identified accurately and consistently Completed |
Evidence:
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Determine client expectations and requirements with respect to financial markets advice
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Client is encouraged to express and clarify their requirements and expectations and their concerns, if any are identified and responded to promptly and appropriately Completed |
Evidence:
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Client's investment needs and preferences with respect to financial product selection or portfolio are determined Completed |
Evidence:
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Specialist advice is sought where necessary or client is referred to appropriate personnel or organisation where required services are not available or cannot be provided Completed |
Evidence:
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All information and facts provided by client are analysed and appropriate risk or reward and asset allocation strategies are determined in accordance with client requirements, organisation policies and guidelines and with relevant legislation or industry codes of practice Completed |
Evidence:
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Prepare and update necessary documentation where required
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All relevant client facts, financial and personal histories and completed disclosure documents are completed and filed in accordance with organisation policy and guidelines and relevant legislation and regulatory requirements Completed |
Evidence:
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Client records are created or updated where necessary and client documentation, information and histories filed in a format and location readily accessible to other advisers Completed |
Evidence:
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