Overview of the Investment Advisory Industry.
- KM1-Topic 1: Basic economic principles
- KM1-Topic 2: Needs and wants of an entity.
- KM1-Topic 3: Current affairs in the Financial Services Sector.
- KM1-Topic 4: Changing nature of the financial services industry and its consumers.
- KM1-Topic 5: Risk in a Financial Services environment.
Regulatory Requirements for advising clients regarding insurance and investments
- KM2-Topic 1: Principles of ethics.
- KM2-Topic 2: FAIS (Act 37 of 2002)
- KM2-Topic 3: Money laundering legislation.
- KM2-Topic 4: Promotion of Access to Information Act, 2 of 2002 and the Electronic Transactions and Communications Act, 25 of 2002.
- KM2-Topic 5: Protection of Personal Information Act 2020-21