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?
Create rapport with the client
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Disclosure of capacity to client is consistent with codes of practice and legislative requirements, and organisational requirements and client concerns, if any, are identified and responded to appropriately Completed |
Evidence:
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Services are explained to client when appropriate, including in writing, in a clear and unambiguous way, avoiding jargon and in a language appropriate to the level of financial understanding of the client Completed |
Evidence:
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Client is assisted to make informed choices using relevant documentation Completed |
Evidence:
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Client's needs and objectives are addressed consistent with their budgetary situation Completed |
Evidence:
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Discuss financial plan with the client
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The scope and limitations of the plan and or advice is clearly explained to the client together with provision of appropriate warnings Completed |
Evidence:
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Strategies and recommendations in the financial plan are explained and discussed with the client in a clear and unambiguous way Completed |
Evidence:
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Financial plan documentation is prepared, explained and discussed with the client when appropriate Completed |
Evidence:
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Impact of key aspects of the recommendations is disclosed in a clear and concise manner to the client Completed |
Evidence:
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Client is guided through the key aspects of the strategies proposed when appropriate with product knowledge appropriate for the service or advice offered demonstrated Completed |
Evidence:
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Assumptions used in formulating the plan and the degree to which variations in the assumptions may impact the client's expected outcomes is explained Completed |
Evidence:
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Requirements to put the recommended plan into effect are explained to the client with any areas in the plan that may require further advice identified and noted Completed |
Evidence:
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Copies of the research and other relevant documentation are provided to the client if requested and confirmation sought that the client understands all recommendations presented Completed |
Evidence:
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Agreement in principle to proceed is obtained from the client Completed |
Evidence:
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Appropriate level of after sales service to be provided is clearly defined, and communicated to the client Completed |
Evidence:
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Negotiate effectively
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Clients are assisted when necessary to make appropriate decisions regarding solutions to their needs and objectives within the scope of the plan with alternatives to recommendations presented when requested Completed |
Evidence:
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Limits imposed by regulatory requirements or organisation guidelines are observed Completed |
Evidence:
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Restraint and composure are exercised when dealing with any conflict situations involving clients Completed |
Evidence:
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Communication channels are maintained when dealing with any complaints and following internal or external complaint handling procedures Completed |
Evidence:
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Complete and maintain necessary documentation
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Financial plan is adjusted according to changes agreed to by the client Completed |
Evidence:
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Proposals and other documents are completed and signed off when plan is agreed between the client and authorised representative Completed |
Evidence:
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Implementation actions required by the client are clearly identified and written agreement to actions is obtained Completed |
Evidence:
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Client records are created or updated with any contract variations completed if required Completed |
Evidence:
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Confirmation including relevant documentation and contract variation is provided to the client and final plan implemented Completed |
Evidence:
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Customer advice is recorded in accordance with the organisation guidelines and or financial plan documentation requirements Completed |
Evidence:
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Client signatures on instructing and or purchasing documents are obtained where required Completed |
Evidence:
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