Staff / Adviser completing this learnings record
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Please Select
Alex Aliev
Alok Gupta
Amir Aliev
Andrew Lacy
Anne Miel
Ben Empson
Bernadette Martinez
Brent Wright
Brett Davies
Brittany Te Patu
Bryony Tesar
Celia Bailey
Charlotte Sandbrook
Cherian John
Chris Brown
Christiana Pollock
Cindy Huang
Claudio Toccalino
Dustin Lindale
Efsun Celik
Elite Chan
Fran Crouch
Gretchyn Mclean
Ivy Fernandez
Janeen Flower
Jarrod Kirkland
Jocelynnda Coronado
Johnny Angkiriwang
Karen Latimer
Karyn Powell
Kelly Hackett
Kevin Seque
Krista Brenssell
Kristy MacNeill
Laura Cates
Lee Amodeo
Leon Zhang
Leslie Brown
Louvaine Wreaks
Lyndal Cruickshank Brunt
Lynne Dent
Mandy O'Connor
Marita Fynn
Mark Armstrong
Matthew D’Souza
Matthew Grace
Maurice Trapp
Mel Armstrong
Melanie Paterson
Michael Shrubsall
Natalie Jarman
Nick Blincoe
Nicky Cornish
Nicola Winters
Owen Grauman
Peach Gerida
Phil Gilmour
Rachel Easto
Rick Willis
Roger Fairbairn
Roy Pearson
Rupert Gough
Rustam Nomozov
Samantha Cunningham
Sandra Sutton
Sarah Jones
Shahrukh Shameem
Shalini Singh
Sharon Empson
Sian Johnson
Siwen Luo
Somesh Awasthi
Stephane Skowronski
Stephen Bennett
Steve France
Steve Rogers
Sue Taylor
Summer Huang
Susan Wu
Susie Wright
Tim Jones
Toni Amodeo
Tony Gribble
Warren Storm
Yvonne Chua
Q1: What is the primary purpose of the Disclosure Policy? (select one correct answer)
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To increase sales of financial products
To reduce regulatory requirements
To advertise financial services
To provide essential information to clients for informed decision-making
Q2: At what point in the advice process should public disclosure be made? (select one correct answer)
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After the client has agreed to the service
Before the client is given advice, via the company website or upon request
Only after a complaint is made
After the client signs the contract
Q3: Which of the following must be disclosed when the nature and scope of advice is known? (select one correct answer)
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Information about the adviser, including any conflicts of interest
The company’s latest financial performance
The company’s marketing strategy
A list of all past clients
Q4: What should be disclosed when giving financial advice to a client? (select one correct answer)
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Details about other competitors
Detailed information on fees, commissions, and relevant conflicts of interest
The company’s business plan
Information about unrelated services
Q5: When must a financial adviser inform a client about their ability to access a dispute resolution scheme? (select one correct answer)
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Only if the client explicitly asks
At the first meeting
When a complaint is made
After the service has been completed
Q6: What is included in public disclosure on the company website? (select one correct answer)
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Information about the adviser’s personal history
Licensing status, fees, commissions, and conflicts of interest
Private client data
Financial projections of the company
Q7: How frequently should the company website be reviewed for compliance with disclosure requirements? (select one correct answer)
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Every 6 months
Occasionally
Monthly
Annually
Q8: What is the purpose of reviewing client files for disclosure? (select one correct answer)
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To ensure that disclosure requirements are being met during the advice process
To assess marketing effectiveness
To review the client’s financial history
To prepare for a sales pitch
Q9: What type of history must be disclosed when the nature of the advice is known? (select one correct answer)
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The adviser’s criminal convictions, civil proceedings, or bankruptcies
The adviser’s educational background
The adviser’s marketing materials
The adviser’s travel history
Q10: What duty is outlined in the Financial Markets Conduct (FMC) Act that must be disclosed on the website? (select one correct answer)
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Duty to make a profit
Duty to provide timely advice
Duty to give priority to clients’ interests
Duty to advertise services
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