Provide an ongoing service to the retail client in securities or derivatives
URN: FSPSDR06
Business Sectors (Suites): Providing Advice on Securities or Derivatives in the Retail Market
Developed by: Financial Skills Partnership
Approved on:
2016
Overview
Performance criteria
You must be able to:
Knowledge and Understanding
You need to know and understand:
Scope/range
Scope Performance
Scope Knowledge
Values
Behaviours
Skills
Glossary
Links To Other NOS
External Links
Version Number
Indicative Review Date
2016
Validity
Current
Status
Original
Originating Organisation
Original URN
Relevant Occupations
Investment Adviser
SOC Code
2422
Keywords
Securities; derivatives; financial instruments; regulatory requirements; retail client; disclosures and checks; existing assets; risk/reward profile; benchmarks; professional standards