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Unit Standard No.12164Page 115

The application of disclosure and conduct requirements

in a selected sub sector.

This module will focus on the requirements of disclosure and conduct and its application thereof within a selected sub-sector.

Outcomes for Module 4:

Learners will

Demonstrate an interpretation of disclosure rules for a sub sector of the financial services industry.

Outline the code of conduct for a selected sub sector of the Financial Services sector and give an indication of what proof is required as evidence of compliance.

Demonstrate knowledge of the requirements regarding record keeping, with reference to what records should be kept and for how long different records should be maintained in terms of the legislation.

Show an understanding of the importance of timing and explain the extent of disclosure with an indication of the implications if disclosure is not made timeously.

Reflect on and show understanding of how the Compliance provisions made by an organisation are investigated, evaluated and findings are presented in a report.

Show an understanding of the requirements of disclosure required by legislation and demonstrated an understanding for three selected products.

Reflect on and be able to explain the effect of disclosure requirements on commission with reference to a line of business and a specific policy/product.

INSMAT final materials31/10/03

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