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  Improve Your Financial Knowledge - Part 20

  1-Sep-2023

  64. Dealing Representatives

  Often referred to as “Advisors” in the securities industry, because they provide investment advice to their clients.

   

  65. Investment Selection Considerations

  Selecting investments and building portfolios that will help clients achieve their investment objectives is fundamental to the role of a Dealing Representative.

   

  Investment selection

  A) Investment selection starts with a careful analysis of the features and characteristics of the available investment products and determining which investments will be effective in helping a client meet their investment goals.

  B) The process requires diligent and thorough analysis, prudent judgment, and professional expertise.

  C) When considering investments for a client’s portfolio, Dealing Representatives will need to consider various factors about the proposed investments and the prevailing market conditions including the:

  Asset class and investment type * Expected return * Risk * Economic cycle

   

  66. Asset Class and Investment Type

  Dealing Representatives will first need to consider the investment’s asset class in order to assess whether it will deliver on the client’s investment objectives. Each asset class has specific features and characteristics that will generate different types of return for their investors at different levels of risk. When the investment product is a mutual fund, the Dealing Representative will need to consider the underlying investments within the mutual fund’s portfolio.

   

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  Or call us at 647-830-8080

   

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