Securities, Managed Investments and Derivatives


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.

Additional research

When completing this assignment, assumptions are permitted although they must not be in conflict with the information provided in the Case Studies.

You may also be required to source additional information from other organisations in the finance industry to find the right products or services to meet your client’s requirements, or to calculate any service fees that may be applicable.

Saving your work

Download this document to your desktop, type your answers in the spaces provided and save your work regularly.

Assignment instructions

You must submit your completed assignment in a compatible Microsoft Word document.
You need to save and submit this entire document.

Do not remove any sections of the document.

Do not save your completed assignment as a PDF.

The assignment must be completed before submitting it to Kaplan Professional Education. Incomplete assignments will be returned to you unmarked.

The maximum file size is 5MB. Once you submit your assignment for marking you will be unable to make any further changes to it.

You are able to submit your assignment earlier than the deadline if you are confident you have completed all parts and have prepared a quality submission.

Your assignment due date will be confirmed in your enrolment confirmation email.

The assignment marking process

You have 12 weeks from the date of your enrolment in this subject to submit your completed assignment.

Should your assignment be deemed ‘not yet competent’ you will be give an additional four (4) weeks to resubmit your assignment.

Your assessor will mark your assignment and return it to you in the Securities, Managed Investments and Derivatives (DFP4Dv1) subject room in KapLearn under the ‘Assessment’ tab.

‘Not yet competent’ and resubmissions



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