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Unit Standard No.12164Page 26

5.3

The role, powers and duties of the courts are explained as they apply to individual clients.

5.4

The manner in which complaints are handled by the industry is investigated with reference to Financial Services Board directives.

ACCREDITATION AND MODERATION:

This unit standard will be internally assessed by the provider and moderated by a moderator registered by INSQA or a relevant accredited ETQA.  The mechanisms and requirements for moderation are contained in the document obtainable from INSQA,

INSQA framework for assessment and moderation.

RANGE STATEMENT:

The typical scope of this unit standard is

1.

The Financial Advisors’ and Intermediaries Services’ legislation.

NOTES:

CRITICAL CROSS FIELD and DEVELOPMENTAL OUTCOMES:

This unit standard supports in particular, the following critical cross-field outcomes at unit standard level:

1.

Learners are able to organise and manage themselves effectively in applying disclosure and conduct requirements.

2.

Learners can communicate effectively using visual, mathematics and language skills to explain aspects of the legislation write reports and illustrate concepts graphically.

3.

Learners are able to act as responsible citizens in the organisation and local community by understanding the mechanisms for enforcement and the implications for the intermediary and the industry.

4.

Learners are able to demonstrate an understanding of the world as a set of related systems when explaining the implications of non compliance, and the need for legislation to regulate the industry.

5.

Learners can collect, organise and critically evaluate information in analysing FAIS legislation and its effect on a sub sector.

6.

Explore education and career opportunities in indicating the requirements for licensing.

7.

Participate as a responsible citizen in the life of local and national communities by knowing and applying disclosure and conduct requirements.

INSMAT final materials31/10/03

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