Case study— Karen Ferraro


Securities, Managed Investments and Derivatives

Before you begin

Read everything in this document before you start your assignment for Securities, Managed Investments and Derivatives (DFP4Dv1).

About this document

This document includes the following:

  • Part 1: Instructions for completing and submitting this assignment
  • Part 2: The case study
  • Part 3: Assignment questions

–    Section 1:     Establish relationship with client and identify client’s objectives, needs and financial situation

–    Section 2:     Analyse client objectives, needs, financial situation and risk profile to develop appropriate strategies and solutions

–    Section 3:     Present appropriate strategies and solutions to the client and negotiate a financial plan, policy or transaction

–    Section 4:     Agree the plan, policy or transaction and complete documentation

–    Section 5:     Provide ongoing service where requested by client.

Part 1: Instructions for completing and submitting this assignment

How to use the study plan

We recommend that you use the study plan for this subject to help you manage your time to complete the assignment within your enrolment period. Your study plan is in the KapLearn Securities, Managed Investments and Derivatives (DFP4Dv1) subject room.

Word count

The word count shown with each question is purely indicative. You may exceed the word count by a minimal amount, however, please do not include additional information which is outside the scope of the question.




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