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Cases>Investment advice

Investment advice

This course is in Swedish
1 950 kr ex. VAT
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Web based training

This course teaches you what you need to do in order to comply with applicable laws and regulations on financial advisory services. It includes, among other topics, needs analysis, information and documentation, good advise practice and duty of discourage.

The goal of this course is to teach you what you need to do to comply with applicable laws and regulations in financial advisory services.

It takes about 45 minutes to complete the course and the concluding knowledge test. Once you are approved and done you can print a certificate.

Who is this for?

The course is aimed at people who work in investment advice or life insurance distribution. You should know and be able to apply the investment advice requirements set out in the Securities Market Act (2007: 528) and the Danish Financial Advisory Board (2003: 862), and the Financial Supervisory Authority’s Securities Movement Regulations FFFS 2017: 2.

Course content

Consulting

  • When is it investment consulting?
  • Conflicts of interest
  • Good advice practice

Laws and regulations

  • Laws that control consulting
  • Regulatory agencies
  • Qualifications
  • Indemnity

Needs inventory

  • Customer meeting
  • How to make a proper assessment
  • Suitability assessment

Information and documentation requirements

  • Requirements for documentation to the customer
  • Documentation in connection with advice
  • Customer meeting

Knowledge test

Reservation policy

Confirmation of the registration is sent out via e-mail. Look into the spam folder if you can’t find it. If you don’t receive any confirmation, please contact us at info@contento.se. Registration for distance courses is binding and cannot be cancelled. Registration for teacher-led classes is binding, but not personal, and can be transferred to another person within the same company. In case of rebooking or cancellation later than four weeks before the start of the course, 50 per cent of the course fee will be charged. If you rebook or cancel later than two weeks before the start of the course, the entire course fee will be charged. The cost for sent material is always charged. Invoicing takes place upon notification with payment terms 30 days. The course is available for 12 months from the notification. In case of illness with lecturers for teacher-led classes, we reserve the right to move one or more course days to another occasion. We are happy to welcome you as a course participant with us at Contento!

Location

Olof Palmes Gata 20b, 111 37
Stockholm, SWEDEN