This is a Kaplan Professional course. its call Securities and assignment is based on equity securities and debt securities. this is a diploma in financial planning module 4 course. there are few short answer questions and a statement of advice to be written.Section 1 Establish relationship with client and identify client's objectives, needs and financial situation

Part A

After your phone conversation with Sandra, you organise a meeting to discuss the planning process and to find out what Sandra's goals are. List five (5) topics that must be covered with Sandra at this meeting to ensure you meet all compliance requirements. Explain why each issue is important. (350 words)

[insert student response] Part B

List the documents that will be used and/or provided to Sandra during, or prior to, the initial meeting. Explain the contents of each document and why it is necessary. (200 words)

[insert student response] Part C

Provide a series of questions that you could use to find out more about Sandra's share portfolio and her goals and attitudes relating to the portfolio. You must include at least one open-ended, one reflective and one closed question. (400 words) [insert student response] Part D It is important that Sandra understands your company's dispute resolution procedure. Explain, step-by-step, the internal and external complaints resolution processes available to her. (150 words) [insert student response]

Part E Outline how you would develop rapport with Sandra during your first meeting. (200 words) [insert student response]

Section 2 Analyse client objectives, needs, financial situation and risk profile to develop appropriate strategies and solutions Part A

Complete the cash flow analysis for Sandra based on the information in the case study. Identify any gaps in the data collection and include any assumptions that you have had to make as a consequence. (150 words)