An Introduction To Financial Markets - ZISHI

An Introduction To Financial Markets

This intensive one day course reviews the Financial Services industry and its ongoing development, taking into account the structure of the industry.

CPD:

6 CPD Hours

How Financial Markets Really Work Flyer

Course available in-house:

Yes

Price per person (Ex. VAT): Provided on request

KEY BENEFITS

By the end of this course delegates will be able to:

  • Describe the main market participants and their role in industry.
  • Analyse the role of both the Investment Manager and Financial Planner, being able to correctly identify key client related activities within each division.
  • Explain both the Investment Manager and Financial Planners responsibilities, in accordance with FCA regulation, to ensure recommendations are suitable and relevant to the clients’ needs.
  • Describe the industry and regulatory developments which may have impact on the strategic direction of firms and the impact on their clients.

COURSE OVERVIEW

Course Overview

Gain an understanding into Investment Management, Financial Planning and how financial markets operate.

Financial services is a large business sector and beginning to understand this complex arena is key to anyone new starting out in the industry.

 

The Course Agenda

Welcome and Introduction

  • Introductions

 

Market Overview

  • State and size of markets
  • Main market participants and channelling monies for investment
  • Who are the investors (and classification)?

 

Distribution Channels

  • Distribution channels in the UK

 

The Wealth Management Industry

  • Aspects of Wealth Management
    • The process
    • Financial planning
    • Investment Management
  • Developments in Wealth Management over recent years and the impact on firms

 

Financial Advice

  • Independent vs restricted advice
  • The fact find
  • Assessing suitability
    • Attitude to risk and capacity for loss
    • The Suitability Report
  • Client reporting

 

Investment Management Approaches

  • Investment Management Approaches
    • Asset classes
    • Asset allocation, shifts and new trends
    • PIMFA Private Investor Indices
    • Ethical & socially responsible investment
    • CISs and the rise of ETPs
    • Wraps and Wrappers
  • Basics of behavioural economics

 

Regulatory Themes

  • Major regulatory themes
    • Principles for Businesses
    • TCF & Conduct risk
    • Suitability and the KYC imperative

 

Future Challenges

  • Impending changes and continuing need for firms to evolve
    • Senior Manager Regime
    • MiFID II
  • Financial Crime including cybercrime

If you have any questions about this course, please feel free to get in touch via email on info@thezishi.com or by calling 01908 395243.

This intensive one day course reviews the Financial Services industry and its ongoing development, taking into account the structure of the industry.

CPD:

6 CPD Hours

How Financial Markets Really Work Flyer

Course available in-house:

Yes

Price per person (Ex. VAT): Provided on request

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