INDI Subdivision S2.3.A.1 Advising on, and arranging deals in, investments (excluding long term insurance contracts and units in collective investment funds)

Examples of roles performing this function — dvising on investments

•   financial adviser
•   investment strategist
•   private client investment adviser
•   client service representative or relationship manager
•   advising on securities or derivatives
•   institutional sales
•   commodities futures broker
 

S2.3.1 Develop an investment strategy to meet agreed investment objectives

S2.3.2 Analyse the risk and return profile of asset types for customers
S2.3.3 Construct a risk profile for a proposed portfolio change
S2.3.4 Make contact with the customers and gather and validate financial information relevant to the securities or derivatives market
S2.3.5 Follow the initial contact process with customers and engage customers for financial advice and planning
S2.3.6 Open an account and carry out appropriate administration for customers in the securities or derivatives market
S2.3.7 Establish the investment objectives of customers
S2.3.8 Analyse the customers' financial situation and assess the customers' demands, needs and investment objectives
S2.3.9 Research and select appropriate financial solutions to inform recommendations
S2.3.10 Advise on appropriate financial solutions and agree the next steps
S2.3.11 Review and respond to the customers' changing financial needs and circumstances
S2.3.12 Advise customers on investment strategy and investment selection
S2.3.13 Monitor individual portfolio performance using appropriate comparators
S2.3.14 Prepare investment recommendations for re-structuring an individual or corporate portfolio
S2.3.15 Report to customers on investment performance
Derived from QFCRA RM/2014-5 (as from 1st January 2015)
Amended by QFCRA RM/2022-2 (as from 1st April 2022).