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J12 securities advice and dealing > 3. Apply dealing principles and practice relevant to client investment activity (3) > Flashcards

3. Apply dealing principles and practice relevant to client investment activity (3) Flashcards

3.1 Apply dealing principles and practice. (1 cards)

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J12 securities advice and dealing (7 decks)

1. Analyse the characteristics, features, behaviours and risks of securities and equities in the context of the market for these products (39)

2. Understand the structure, features, and regulatory and trading environment of the securities market (9)

3. Apply dealing principles and practice relevant to client investment activity (3)

4. Understand clearing, settlement and custody principles and practice relevant to client investment activity (4)

5. Assess the factors that influence market behaviour relevant to investment advice (5)

6. Apply the relevant factors and considerations to decide and implement appropriate investment recommendations (15)

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