MindMap Gallery Section 1 Chapter 23 Fund Customer Service ⭐️⭐️ (memory)
2023 Fund Practitioner Qualification Examination Subject 1, Chapter 23, the subject has a total of thirteen chapters, and the content is distributed in two volumes. (Note: The Fund Practitioner Examination consists of Subject One, Subject Two, and Subject Three. Subject One and Subject Two are a mixture of two books, and Subject Three is private equity) Wish you ashore!
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This is a mind map about bacteria, and its main contents include: overview, morphology, types, structure, reproduction, distribution, application, and expansion. The summary is comprehensive and meticulous, suitable as review materials.
This is a mind map about plant asexual reproduction, and its main contents include: concept, spore reproduction, vegetative reproduction, tissue culture, and buds. The summary is comprehensive and meticulous, suitable as review materials.
This is a mind map about the reproductive development of animals, and its main contents include: insects, frogs, birds, sexual reproduction, and asexual reproduction. The summary is comprehensive and meticulous, suitable as review materials.
Chapter 23 Fund Customer Service ⭐️⭐️ (memory)
Section 1 Overview of Fund Customer Service
1. The significance of fund customer service
Establish a good brand image
Improve the market competitiveness of sales organizations
Enable the sales organization to have a group of stable, loyal, and high value-added customers
Bring huge economic benefits to enterprises
Effectively prevent customer churn
2. Characteristics of fund customer service
(1) Professionalism
(2) Normativeness
(3) Continuity
(4) Timeliness
3. Principles of fund customer service
(1) The principle of giving priority to investors’ interests
(2) Principles of effective communication
(3) Safety first principle
(4) Professional standards and principles
(5) Principle of appropriateness management
4. Steps of fund customer service
(1) Pre-sales service
Introduce basic knowledge of the securities market and funds, and popularize fund-related legal knowledge
Introduce the investment operations of fund managers to allow customers to fully understand the characteristics of fund investment
Conduct in-depth investigation and analysis of investor information and carry out investor risk education
(2) Sales service
Assist clients to complete risk tolerance tests and explain test results in detail
Recommend funds that comply with the principle of applicability
Introduce fund products
Assist customers with fund business such as account opening, subscription, redemption, and information changes
(3) After-sales service
Remind customers to check transaction confirmation promptly
Introduce customer service, information inquiry and other methods and paths to customers
Make relevant information disclosures
Notify customers in a timely manner when fund companies and fund products change
Regular investor return visits
Section 2 Fund Customer Service Process
1. Fund customer service content and specifications
Fund sales agencies should formulate customer service standards and regulate services such as service objects, service content, and service procedures.
2. Investment consultation and interactive communication with fund customers
Provide consulting services such as securities investment research and analysis results, investment information, specific operational strategies, and suggestions.
3. Handling fund customer complaints (Establishing a complete customer complaint handling system includes)
Establish an independent customer complaint handling and coordination department or position
Telephone number, email address and complaint handling rules for accepting customer complaints from the public
Patiently listen to investors’ opinions, suggestions and requirements, and accurately record the content of customer complaints. All customer complaints should be fully recorded and archived, and complaint calls should be recorded.
Assess the risk of customer complaints, take appropriate measures, and handle customer complaints promptly and properly
Summarize relevant issues based on customer complaints, discover business risks in a timely manner, improve work based on reasonable opinions from investors, and improve the internal control system. If necessary, report immediately to the institution where you work.
4. Fund investment tracking and evaluation
The core is the maintenance of fund sales business and interpersonal relationships
5. Fund client file management and confidentiality
Customer identity information will be kept for at least 15 years from the year the business relationship ends.
Transaction records shall be kept for at least 15 years from the year in which the transaction is recorded.
6. Fund customer service provision methods
(1) Telephone service center
(2) Mailing service
(3) Automatic fax, e-mail and mobile text messages
(4) "One-on-one" dedicated service
(5) Application of Internet
(6) Application of WeChat and mobile clients
(7) Application of media and promotional brochures
(8) Lectures, promotion meetings and symposiums
7. Personalized services for fund customers
(1) Do a good job in dynamic analysis of customers
(2) Understand the in-depth needs of customers through strengthening customer communication
(3) Be a good consultant to customers
Section 3 Investor Protection Work
1. The concept and significance of investor protection work
A systematic social activity for individual investors
Purposeful, planned, organized
Spread relevant investment knowledge, teach relevant investment experience, and cultivate relevant investment skills
Promote rational investment concepts and remind relevant investment risks
Inform investors of their rights and protection channels, and improve investor quality
2. Basic principles and content of investor education
(1) Basic principles of investor education
①It should help regulators protect investors
② Should not be regarded as a substitute for the supervision of market participants
③Securities operating institutions should incorporate investor education into all business links
④There is no fixed model for investor education. Rather, it can take many forms
⑤ There is no widely used investor education program
⑥Investor education cannot and should not be equated with investment consultation
(2) Contents of investor education
1. Investment decision-making education
The act or process of making choices about investment products and services
It is the foundation of the entire investor education system
2. Asset allocation education
Guide investors to scientifically plan and control personal assets
3. Rights protection education
Call on investors to actively participate in and protect their rights and interests in changing the social and market environment for their investment decisions
3. Forms of investor education work
From the perspective of publicity media
Paper form
electronic form
From the perspective of time and space on the form of investor education work
on site
Offsite