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FPC008 Investment Advice

This subject highlights the need for a robust framework and a disciplined process in order to provide quality investment advice to retail investors. To this end, students will gain a deep understanding of the investment industry and the many factors that need to be considered when developing advice for a client.

For more information, please refer to the subject outline.

  • Learning outcomes
    • The following learning outcomes apply to Study Period 2 2016 onwards. If you are in a previous study period, please refer to your subject room.

      At the completion of this subject students should be able to:

      1. evaluate investment advice processes and frameworks in the delivery of quality investment advice to retail investors
      2. reflect upon the role of portfolio theory and construction techniques in developing investment advice
      3. critically analyse a client’s investment objectives and constraints
      4. apply knowledge of asset classes, investment markets and tax in providing expert investment advice
      5. critically analyse the different investment structures and fund managers available to retail investors
      6. conduct appropriate quantitative and qualitative research in recommending suitable investment strategies and products
      7. evaluate the performance of investment advice as it relates to a client’s needs and objectives
  • Subject outline
    • The following subject outline applies to Study Period 2 2016 onwards. If you are in a previous study period, please refer to your subject room.

      Topic Title
      Topic 1 The investment advice process in practice
      Topic 2 Portfolio theory
      Topic 3 Asset classes and investment markets
      Topic 4 Investment vehicles and platforms and direct investing
      Topic 5 Portfolio construction techniques
      Topic 6 Fund manager strategies and styles
      Topic 7 Fund manager selection
      Topic 8 Tax issues in investment advice
      Topic 9 Evaluating investment advice
      Topic 10 Investment advice frameworks

  • Assessment
    • Assessment Type Assessed Weighting
      Assignment 1 Week 4 20%
      Assignment 2 Week 7* 35%
      Assignment 3 Week 12 45%

      Click here for an assessment timetable.

      *For Study Period 6 2016 Assignment 2 will be due at the end of Week 6. This is due to the Christmas period closure.

  • Pre-requisites
  • Course transition subject equivalence
    • Students who transition from a SIA/Finsia/Kaplan course and have completed the following subject within the course completion time frame may not also complete this subject:

      • FIN206 Investment Management or
      • FIN226 Investment Management or
      • E121 Fundamentals of Portfolio Management
  • Reading list
    • There are no prescribed texts for this subject.

      Details of any required and further readings for this subject are provided in the subject room.  Purchase of any text other than a prescribed text is not required.