6 Steps of Financial Planning

6.5 CPD


Accreditation expiry date: 31/05/2025

One of the greatest causes of complaints and ombud cases is financial planners failing to follow an advice-giving process. Financial planners who do not follow an advice-giving process miss advice and disclosure requirements like the record of advice which leaves clients inadequately informed and planners and FSP’s without a safeguard against complaints. The way to fix these issues is to re-introduce planners to the 6-step advice-giving process and shift their focus towards treating customers fairly (TCF) as a priority goal.

This course is designed to provide you with a refresher on the advice-giving process, its importance and benefits, and a thorough understanding of treating customers fairly (TCF). It will also give you an in-depth understanding of each of the 6 steps. We also cover some ombud cases as cautionary examples to learn from.

Professional Body: FPI
Approval Number: FPI23127718

Once you have completed this course you will be able to:

  • understand holistic financial planning.
  • understand the 6-step advice-giving process.
  • understand ways of establishing relationships with clients.
  • understand what information to gather for advice-giving.
  • understand the analysis and evaluation of information.

Who Should Register

  • Key Individual
  • Representative


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