FNSFMK505 Assessment SUBMISSION.pdf - ASSESSMENT COVER SHEET Assessment Cover Sheet Student\u2019s name Elizabeth Arche Assessors Name Date Is the Student

FNSFMK505 Assessment SUBMISSION.pdf - ASSESSMENT COVER...

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FNSFMK505 Comply with financial services regulation and industry codes of practice Assessor Guide Copyright © Mentor Education Pty Ltd RTO 21683 7 ASESMENT COVER SHE ET Assessment Cover Sheet Student’s name: Assessors Name: Date: Is the Student ready for assessment? Yes No Has the assessment process been explained? Yes No Does the Student understand which evidence is to be collected and how? Yes No Have the Student’s rights and the appeal system been fully explained? Yes No Have you discussed any special needs to be considered during assessment? Yes No The following documents must be completed and attached Written Activity Checklist The student will complete the written activity provided to them by the assessor. The Written Activity Checklist will be completed by the assessor. S NYS Third Party Report The student will complete the practical activity provided to them by their Supervisor. The Activity Checklist will be completed by the assessor. S NYS Research Task and Written/Oral Questioning Checklist The student will answer a range of questions either verbally or written. The Questioning Checklist will be completed by the assessor. S NYS I agree to undertake assessment in the knowledge that information gathered will only be used for professional development purposes and can only be accessed by the RTO: Overall Outcome Competent Not yet Competent Student Signature: Date: Assessor Signature: Date: Elizabeth Arche 15-11-19 15-11-19
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FNSFMK505 Comply with financial services regulation and industry codes of practice Assessor Guide Copyright © Mentor Education Pty Ltd RTO 21683 8 Result and Feedback Feedback to Student: Overall Outcome Competent Not yet Competent Assessor Signature: Date:
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FNSFMK505 Comply with financial services regulation and industry codes of practice Assessor Guide Copyright © Mentor Education Pty Ltd RTO 21683 10 WRITEN ACTIVITY CHE CLIST Written Activity Checklist For this assessment, the student must complete the written activity. The written activity is a stand-alone activity that will allow the student to display the required knowledge and skills that are essential when deciding overall competency. Student’s name: Assessor’s name: Has the student satisfactorily completed the written activity? Yes No Did the Student provide evidence of their ability to: Your task is to research a financial services organisation (this can be one you work in or one you are familiar with) and discuss each of the following in relation to that organisation and their compliance issues: Disclosure of capacity criteria Duty of care principles General obligations of a financial services officer Laws of principal and agents Organisation's products and services Relevant agency agreements or broker authority Relevant industry codes of practice Relevant regulation pertaining to the financial services industry sector Statutory records a financial services organisation needs to maintain Elizabeth Arche
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