The activities in this pathway start by examining the types of sales and products to which appropriateness requirements apply and the exemptions to this. They then move on to look at what the appropriateness test involves, what information a firm is required to gather from the client, the types of client it applies to and what a firm should do if it considers an investment is not appropriate for a client. The pathway then finishes with a case study allowing you to decide whether some products are subject to appropriateness and the actions you should then take.
This course is suitable for all audiences.
When you've completed all of the activities in this pathway, you should be able to:
- ensure appropriateness tests are applied to the relevant types of sales and products
- correctly gather suitable information to assess appropriateness.
