ΠΕΡΙΓΡΑΦΗ

Elevate your career in finance with our comprehensive course tailored for financial professionals and aspiring advisors. Designed to empower you as a licensed investment advisor, this program equips you with the essential knowledge and skills to excel in today's complex regulatory landscape. Discover the art of crafting personalized investment strategies that precisely match your clients' financial aspirations and risk appetite, all while avoiding common pitfalls and ethical quandaries. By enrolling in this program, you'll not only enhance your expertise but also gain the confidence to navigate intricate regulatory terrains, ensuring unwavering compliance while delivering invaluable advice that cultivates trust and paves the path to triumph in your advisory career.

A comprehensive course designed to equip financial professionals and aspiring advisors with the essential knowledge to meet the regulatory and ethical requirements as licensed investment advisors. This course covers the critical aspects of responsible and effective investment advisory, focusing on best practices in economic profile assessment, portfolio diversification, and compliance with regulatory standards. Participants will gain insights into crafting personalized investment strategies that align with clients' financial goals and risk tolerance, while also learning to avoid common pitfalls and ethical dilemmas. By participating in this program, license holders will not only bolster their expertise but also learn how to navigate complex regulatory landscapes, ensuring they maintain compliance while delivering valuable advice that builds trust and fosters success in their advisory careers. 

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

By the end of this course, participants will be able to

At knowledge level:

• State and define the regulatory requirements for having an Investment Advisor license
• State and recognize the main provisions, powers and responsibilities of the competent authorities.
• Explain the duties and responsibilities of an Investment Advisor.
• Analyze and identify client’s financial ability and objectives.
• Establish policies and procedures for contacting investment research.

At skill level:

• Apply comprehensive analysis to client’s economic profile.
• Prepare realistic investment proposals aligned with client’s financial objectives.
• Monitor and reassess client’s investments.

At attitude level:

• Protect themselves and their clients from unethical practises.
• Adopt realistic stances in regards to financial objectives.
• React and reject business relationships that demand unfeasible objectives.
• Encourage an ethical and compliant culture.

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

The target audience for our Investment Advice course comprises both seasoned financial professionals looking to enhance their skills and aspiring advisors seeking a solid foundation in the field. This course caters to individuals aspiring to become licensed investment advisors and experienced practitioners aiming to stay current with evolving regulatory standards and ethical best practices. Whether you're entering the financial advisory sector or seeking to further your career, our course provides the essential knowledge and skills needed to excel in the dynamic world of investment advice within the framework of MiFID II and CySEC regulations.

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Curriculum 

SECTION 1: Introduction

• Course initiation – Attendee welcoming
• Introduction to regulatory and basic definitions
• Introduction to legal references and authorities

SECTION 2: Investment Advice Basics

• Investment Advisor’s role & responsibilities under MiFID II
• Ethical considerations & conflict of interest
• Case study – discussion on ethical practices

SECTION 3: Client’s economic profile and financial objectives

• When and what information to collect
• How to assess client’s suitability and appropriateness
• Contacting a comprehensive information analysis
• Setting up realistic investment objectives

SECTION 4: Crafting Investment Strategies

• Investment risk analysis and management
• Analysis investment scenarios and strategies
• Creating a comprehensive investment proposal reports
• Investment monitoring and reporting
• Case study – evaluating investment proposals

SECTION 5: Investment Advice VS other financial activities

• Regulatory distinction of Investment Advice and other financial activities
• Identifying and navigating situations of correlation
• Best practices and disclosures

SECTION 6: Cases Studies & Exercises

• Course recap
• Multiple choice exam
• Case study – real world scenarios
• Course Assessment
• Q&A and Closing Remarks