T/HFDA 1003-2024 Financial counsel professional competence evaluation specification

Scope

Scope: 1. This document aims to standardize and provide reference and basis for evaluating the professional competence of financial advisors; 2. This document stipulates the working principles, professional ethics, work procedures, and evaluation methods that should be followed when evaluating the professional competence of financial advisors; 3. This document applies to all types of financial advisors, regardless of their current professional or industry status. Main Technical Content: According to the provisions of this document and the actual situation of the evaluated personnel in the process and results of declaring their professional competence as financial advisors, scores are given based on the scores of each indicator. The specific points are as follows: 1. The methods and forms used in the process of declaring the professional competence of financial advisors; 2. The suitability and effectiveness of the methods and forms used compared to the requirements of the standard scoring items; 3. The extent of the methods and evaluation assessments used to meet the requirements of the standard scoring items; 4. The normative requirements of the financial advisor service process, work principles, professional ethics, basic competencies, and professional capabilities, etc.

Development Information

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