Client Advisory (Investment)
Competency Title:
Client Advisory (Investment)
Competency Type:
Functional
Competency Description
This competency refers to the ability to assist clients in making informed decisions regarding capital market products and services. The scope includes providing proper advice and suggestions relating to actions to be taken in making an investment decision.
Level 1 - Awareness
Level 1
• Identify the target group for products and services.
• Identify key products and services features required by clients.
• Identify key information required to serve clients.
Level 2 - Knowledge
Level 2
• Classify clients according to service or product needs segmentation.
• Match products and services offered with the different market segmentation.
• Outline the key steps in analysing client's investment needs and objectives.
Level 3 - Skill
Level 3
• Analyse client's investment needs and objectives to recommend suitable products.
• Determine the key information that must be disclosed to clients as required by regulation.
• Explore with client to determine the preferred service level for investment services.
Level 4 - Mastery
Level 4
• Review product recommendation to match client's investment needs and objectives.
• Establish the nature and extent of information to be provided to client for investment purposes.
• Establish the service level to be provided to client based on the organisation's capacity.
Level 5 - Expert
Level 5
• Form independent thought and insights about the investment landscape and opportunities.
• Assess objectively the performance of securities and feasibility of investment decisions.
• Evaluate the impact of market forces on investment strategy and recommend appropriate mitigating actions.