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SIE Exam flashcards

J12 securities advice and dealing

This class was created by Brainscape user Ashley Deleane. Visit their profile to learn more about the creator.

By: Ashley Deleane
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Decks in this class (7)

Calculations
S1 conversion prep discount on co...,
S2 taxation on dividend income,
S3 warrants
42  cards
1. Analyse the characteristics, features, behaviours and risks of securities and equities in the context of the market for these products (39)
1.1 Analyse the characteristics, features, behaviours and risks of debt securities. 1.2 Analyse the characteristics, features, behaviours and risks of equities. 1.3 Explain the characteristics, features, behaviours and risks of the main competing asset classes and onshore/offshore investment products.
47  cards
2. Understand the structure, features, and regulatory and trading environment of the securities market (9)
2.1 Describe the key features of the main trading markets. 2.2 Describe the role, structure and regulation of the global securities market.
4  cards
3. Apply dealing principles and practice relevant to client investment activity (3)
3.1 Apply dealing principles and practice.
1  cards
4. Understand clearing, settlement and custody principles and practice relevant to client investment activity (4)
4.1 Explain the principles and practices of clearing, settlement and custody.
3  cards
5. Assess the factors that influence market behaviour relevant to investment advice (5)
5.1 Assess the factors that influence investment markets and the movement of individual securities.
2  cards
6. Apply the relevant factors and considerations to decide and implement appropriate investment recommendations (15)
6.1 Analyse the full range of objective and subjective client information and the different investment options. 6.2 Recommend appropriate investment options and/or asset allocations.
1  cards

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J12 securities advice and dealing

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