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Description

Investment Advice: Assessing, Maintaining and Evidencing Knowledge

Validate and maintain the knowledge required to inform and advise clients on financial instruments

  • 0.43 days — 3 h
  • In-person or virtual
  • Intermediate
  • Up to 6 participants

Staff who inform or advise clients on financial instruments are expected to demonstrate an appropriate level of knowledge and to keep it up to date. In practice, institutions in the UAE struggle to organise this assessment on a regular basis and to retain usable evidence on the day a supervisory or internal review takes place.

A three-month online learning path to assess your knowledge of instruments, risks and client information duties, close the gaps identified and retain a record of the path completed. You set your own pace and progress is measured at each stage.

Learning objectives

  • Assess your level of knowledge of financial instruments
  • Describe information and advisory duties towards the client
  • Characterise the risks attached to the main instruments
  • Identify the knowledge gaps to be closed
  • Retain evidence of the learning path completed for review purposes

What makes this programme different

Three months of online access with self-paced progression
An initial assessment that directs you only to the modules you need
A learning record that can be produced during an internal review

Programme

1Assessing Your Knowledge

Measure before you learn

  • Financial instruments and their main characteristics
  • Associated risk and return profiles
  • Information duties towards the client
  • Identification of individual knowledge gaps

2Closing the Gaps

A path targeted on your needs

  • Refresher modules by topic
  • Client classification and know-your-client requirements
  • Matching the product to the client profile
  • Disclosure of fees and costs

3Maintaining and Evidencing

Follow-up over time

  • Periodic updating of knowledge
  • Monitoring of participation and results
  • Learning record and supporting documents
  • Interface with the internal control function

Who is it for

Staff who inform or advise clients on financial instruments, together with their line managers and compliance functions.

Prerequisites

Be engaged in advising or informing clients on financial instruments.

Dates & locations

36 scheduled dates between November 2026 and December 2027. Seats are confirmed in the order enquiries are received.

November 2026

December 2026

January 2027

February 2027

March 2027

April 2027

May 2027

June 2027

September 2027

October 2027

November 2027

December 2027

None of these dates suit you? We open additional sessions on request, and any programme can be run privately for your team.

Practical details

Before the programme
Online positioning questionnaire. Your development objectives are shared with the trainer, who tailors the practical case studies to your context.
Teaching methods
Theoretical input, workshops and practical case studies. Digital course materials and method sheets provided.
Assessment
Multiple-choice tests and role-play exercises. Assessment of learning at the start and end of the programme, with immediate and 60-day follow-up evaluations.
After the programme
One year of access to the e-learning platform. Self-assessment of the skills acquired and a 30-day follow-up session with your trainer.
How to register
Registration online or on the basis of a quotation.
Lead time
11 working days after confirmation of registration.
Accessibility
Accessible to people of determination. Contact our accessibility coordinator to design a suitable solution: contact@mpf-academy.ae
Start dates
Rolling intake: in addition to the scheduled sessions, this programme can start on request.