Modules

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

Modules

KM5: Fundamentals of Investments.

• Topic 1: Explain basic investment principles.
• Topic 2: Demonstrate knowledge and understanding of the establishment and ongoing maintenance of a domestic collective investment portfolio.
• Topic 3: Apply technical knowledge and skill to explain how collective investment scheme portfolios are classified.
• Topic 4: Explain the basic principles of asset management that apply to financial markets and insurance.
• Topic 5: Explain fiduciary responsibilities and the associated risks.
• Topic 6: Describe the main aspects of pre-and post-retirement planning.
• Topic 7: Demonstrate knowledge and insight into the Income Tax Act (58 of 1962 and the accompanying regulations) as amended as it applies to Long-Term insurance and investment products.
• Topic 8: Demonstrate knowledge and insight into the Collective Investment Schemes Control Act, 45 of 2002.
• Topic 9: Demonstrate knowledge and insight into provisions relating to Capital Gains Tax (CGT) contained in the Income Tax Act as it applies to insurance and investment.
• Topic 10: Outline the structure of the collective investment industry.
• Topic 11: Indicate how collective investment scheme portfolios are reported.
• Topic 12: Explain common transactions in a collective investment scheme portfolio.
• Topic 13: Describe collective investment schemes.
• Topic 14: Explain how the life cycle of a business entity affects investment and insurance decisions.

Modules

KM7: Principles of Providing Advice to Clients regarding Investments

• Topic 1: Explain Capital Markets and Capital Market Instruments.
• Topic 2: Explain Equity Markets and Equity Market Instruments.
• Topic 3: Explain Money Markets and Money Market Instruments.
• Topic 4: Explain and apply the basic principles of Estate Duty Act.
• Topic 5: Demonstrate knowledge and insight into offshore legislation in the South African investment environment.
• Topic 6: Discuss current trends in investment portfolio management.
• Topic 7: Apply knowledge of investments to hedge funds
• Topic 8: Apply knowledge and insight of the role of alternative investments in wealth management.

Modules

PM9: Research, analyse and conduct due-diligence of investment opportunities

• Topic 1: Apply technical knowledge and insight into the sales and marketing of participatory interest in collective investment scheme portfolios.
• Topic 2: Analyse the risk profile of specific investment instruments.
• Topic 3: Evaluate the current and future financial position of an entity.
• Topic 4: Apply knowledge of macro-economic trends and indices to evaluate the potential effect on a selected portfolio.

Modules

PM10: Advise clients regarding potential investment opportunities

• Topic 1: Analyse and interpret qualitative and quantitative data from relevant reports in order to make a recommendation or inform a decision for an entity.
• Topic 2: Evaluate the relevant performance of a Fund/Portfolio Manager.
• Topic 3: Offer investment advice to clients based on their needs.

Modules

PM11: Facilitate the implementation of agreed investment decisions

• Topic 1: Apply knowledge and insight to advise on the composition of a financial portfolio.
• Topic 2: Apply technical knowledge and insight into the management of collective investment portfolios.