Brokerage engagement - Study guides, Class notes & Summaries

Domain I Screening, Assessment, and Engagement Domain I: Task 1 Demonstrate verbal and non-verbal communication to establish rapport and promote engagement Domain I: Task 2 Discuss with the client the rationale, purpose, and procedures associated with the screening and assessment process to facilitate client understanding and cooperation Domain I: Task 3 Assess client's immediate needs by evaluating observed behavior and other relevant information including signs and symptoms of intoxica...

CFP Practice Test 2023 CFP Standards of Conduct Sections (6) - CORRECT ANSWER-A. Duties owed to clients. B. Fin. Planning and Application of Practice Standards C. Practice Standards for Fin. Planning Process D. Duties owed to firms/subordinates E. Duties owed to CFP Board F. Prohibition on Circumvention Section A of CFP Standards of Conduct - CORRECT ANSWER-Duties owed to Client: 1. Fiduciary Duty 2. Integrity 3. Competence 4. Diligence 5. Disclose and Manage Conflicts of Interest ...

- answer- What is the historical evolution of disclosure? Why is that relevant today? - answer-x How and why has sustainability accounting and disclosure evolved to supplement financial A&D? - answer- Characteristics of SASB D&A - answer-D&A metrics contextualize understanding of a firm's operations and strategic initiatives What is SICS? - answer-Sustainable Industry Classification System create and outline SASB Sectors and Industries Classification system to meet the needs of u...

- answer- What is the historical evolution of disclosure? Why is that relevant today? - answer-x How and why has sustainability accounting and disclosure evolved to supplement financial A&D? - answer- Characteristics of SASB D&A - answer-D&A metrics contextualize understanding of a firm's operations and strategic initiatives What is SICS? - answer-Sustainable Industry Classification System create and outline SASB Sectors and Industries Classification system to meet the needs of u...

In which of the following situations is a bank required by federal regulation to verify and record the identity of the customer? a. An established customer asks to withdraw $5,000 from his checking account and asks that the withdrawal be issued in the form of a cashier's check b. An established customer purchases $2,000 worth of traveler's checks using cash to pay for the purchase c. An individual uses cash to purchase traveler's checks totaling $2,000 and, at the same time, uses cash to p...

Assignment conditions include: a. The length of time given to the appraiser to complete the assignment b. The amount of the appraiser's fee c. Laws and regulations that affect the assignment d. All of the answers listed Appraisers are permitted by USPAP to disclose confidential information or assignment results to any of these parties EXCEPT: a. The client b. Persons specifically authorized by the client c. State appraiser regulatory agencies d. The subject property owner of reco...

___________________ is a valuation service performed by an individual acting in the role of an appraiser. - answers-Appraisal Practice When performing valuation services outside of appraisal practice, appraisers must be careful not to __________________ the client and other intended users about their role. - answers-Mislead For assignments other than appraisal or appraisal review, there are no ____________________ or ____________________ requirements in USPAP. - answers-Record Keeping or S...

appraisal final exam Appraisal standards require, in a market value assignment, for the appraiser to analyze a current agreement of sale if - ANS required for credible assignment results. Once an appraiser accepts an appraisal assignment the appraiser must - ANS properly identify the problem to be solved in the assignment. An appraisal is a value - ANS opinion Appraisal practice is a valuation service provided by - ANS only those individuals who are ac...

Appraisal Institute Basic Appraisal Principles Appraisal (ch.1) - ANS the act or process of developing an opinion of value What types of assignments use appraisals? (ch.1) - ANS Transfer of ownership Financing and credit Litigation Tax matters Investment Decisions The valuation process (ch.1) - ANS a systematic procedure that an appraiser employs to provide the answer to a client's question about the value of real property Steps of the Valuation Process (ch.1)...

Assignment conditions include: a. The length of time given to the appraiser to complete the assignment b. The amount of the appraiser's fee c. Laws and regulations that affect the assignment d. All of the answers listed Appraisers are permitted by USPAP to disclose confidential information or assignment results to any of these parties EXCEPT: a. The client b. Persons specifically authorized by the client c. State appraiser regulatory agencies d. The subject property owner of reco...