ACI The Financial Markets Association |
ACI Diploma (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) |
2, 3, 12, 13 |
a |
ACI Dealing Certificate when combined with Chartered Institute of Securities and Investment (CISI) Introduction to Securities and Investments and one of the Regulatory units of the Investment Operations Certificate (IOC) |
15, 17 |
4 |
ACI Operations Certificate when combined with Chartered Institute of Securities and Investment (CISI) Introduction to Securities and Investments and one of the Regulatory units of the Investment Operations Certificate (IOC) |
Association of Accounting Technicians |
Member |
15, 16, 17, 18, 19 |
4 |
Association of Certified International Investment Analysts (ACIIA) |
CIIA qualification (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) |
2, 3, 12, 13 |
a |
Certified International Investment Analyst (CIIA) |
14 and 10 |
2 |
Association of Chartered Certified Accountants |
Member or Affiliate |
8 |
1 |
Fellow or Associate |
15, 16, 17, 18, 19 |
4 |
Association of Corporate Treasurers |
MCT Advanced Diploma (Member or Fellow) or AMCT Diploma in Treasury (Associate Member)16 16 |
15, 16, 17, 18, 19 |
4 |
Association of International Wealth Management (AIWM) |
Certified International Wealth Manager Diploma (CIWM) |
2, 3, 12, 13 |
a |
14 and 10 |
1 |
Blackburn College - University Centre |
Foundation Degree Award in Financial Services (syllabus in force until 31 October 2017)29 |
4 and 6 |
a |
Bournemouth University |
BA in Financial Services (1995 to 2001) |
4 and 6 |
b |
MA in Financial Services (1995 to 2001) |
Post Graduate in Financial Services (1995 to 2001) |
18Calibrand / Chartered Banker Institute (Formerly the28 Chartered Institute of Bankers in Scotland)28 |
Diploma in Professional Financial Advice (Post 30/4/2014) |
4 and 6 |
a11 |
Calibrand / Scottish Qualifications Authority |
Diploma in Professional Financial Advice(Pre 1/8/2018)18 |
4 and 6 |
a |
Diploma in Professional Financial Advice (NMBA - Alternative Assessment method) |
15Canadian Securities Institute |
Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH) - must include a pass in both modules (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) - both courses must be completed |
2, 12 |
b |
Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), the Futures Licensing Course (FLC), the Derivatives Fundamentals Course (DCF) and the Options Licensing Course (OLC) - must include a pass in all modules (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) - all courses must be completed |
3, 13 |
b |
Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), the Futures Licensing Course (FLC) and the Derivatives Fundamentals and Options Licensing Course (DFOL) - must include a pass in all modules (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) - all courses must be completed |
CASS Business School |
MSC in Banking and International Finance (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) |
2, 3, 12, 13 |
a |
12MSC in Investment Management pre 2003 syllabus (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) |
2, 3, 12, 13 |
b16 |
16CFA Institute |
The CFA Institute Investment Foundations Certificate - (Formerly the 25Claritas Investment Certificate)25 |
15, 16, 17,18, 19 |
4 |
CFA Institute and the CFA Society of the UK |
Level 1 of CFA Program plus Investment Management Certificate (Level 4)12 12 |
2, 3, 12, 13 |
a |
Completion of CFA Program plus Investment Management Certificate Unit 1: The investment environment (Level 4)12 12 |
Holder of Associate qualification (associate member)12 12 |
2, 3, 12, 13 |
b |
Level 1 of CFA Program plus Investment Management Certificate (Level 3)12 12 |
Completion of CFA Program plus Investment Management Certificate Unit 1: UK Regulation and Markets (level 3)12 12 |
Holder of Associate qualification (Fellow)12 12 |
CFA Program (Level 1) |
14 and 10 |
2 |
Fellow or Associate by examination |
8 |
1 |
14 and 10 |
15, 16, 17, 18, 19 |
4 |
Investment Management Asset Allocation Qualification13 1212 |
14 and 10 |
2 |
Investment Regulation and Practice Paper of the Associate Examination |
15, 16, 17 |
5 |
CFA Society of UK (Formerly the UK Society of Investment Professionals/ Institute of Investment Management and Research (IIMR)) |
Investment Management Certificate (Level 4) plus other qualifications that meet specialist standards for advising on securities 12 |
2, 12 |
a |
Investment Management Certificate (Level 4) plus other qualifications that meet specialist standards for advising on packaged products 12 |
4 and 6 |
Investment Management Certificate (Level 4) plus other qualifications that meet specialist standards for advising on derivatives 12 |
3, 13 |
Investment Management Certificate (Level 3 or 4)12 12 |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
15, 16, 17 |
5 |
14 and 10 |
1 |
Investment Practice Paper (Unit 2) of Investment Management Certificate (Level 3 or 4)12 12 |
14 and 10 |
2 |
12 |
8 |
2 |
Investment Management Certificate Unit 1: UK Regulation and Markets (Level 3) or Investment Management Certificate Unit 1: The Investment Environment (Level 4)12 12 |
8 |
3 |
15, 16, 17, 19 |
5 |
18 |
6 |
12 |
14 and 10 |
3 |
Chartered Alternative Investment Analysis Association (CAIA) |
CAIA Level 1 (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) |
2, 12 |
b |
22 |
22 |
22 |
22 |
Chartered Banker Institute (Formerly the28 Chartered Institute of Bankers in Scotland)28 |
Diploma in Investment Planning (Existing Adviser) (18Post 2010 examination standards and Pre 1/6/2015)18 |
4 and 6 |
a |
Diploma in Investment Planning (New Adviser) (18Post 2010 examination standards and Pre 1/6/2015)18 |
Diploma in Investment Planning (Retail Banking) (New Adviser) (18Post 2010 examination standards and Pre 1/6/2015)18 |
Diploma in Investment Planning (Retail Banking) (Existing Adviser) (18Post 2010 examination standards and Pre 1/6/2015)18 |
Diploma in investment planning (work based assessment)(Pre 1/6/2015)18 |
Associate (March 1992 to July 1994 syllabus (including top-up test)) |
4 and 6 |
b |
Associate (post August 1994 syllabus) |
Certificate in Investment Planning (Pre 17/09/2004) |
Chartered Banker (where candidates hold UK Financial Services and Investment modules) |
Diploma in Investment Planning (current) |
Associateship - (must include a pass in the Investment Paper) |
2, 3, 12, 13 |
b |
Certificate in Investment Planning - Paper 1 |
15, 16, 18, 19 |
4 |
15, 16, 17, 18, 19 |
5 |
Certificate in Investment Planning |
17 |
4 |
Member or Associate |
15, 16, 17, 18, 19 |
4 |
Mortgage Advice and Practice Certificate |
20 |
1 |
Certificate in Mortgage Advice and Practice (MAPC) (Pre 16/09/2004) |
20, 21, 22 |
1 |
MAPC bridge paper plus entry requirements (Pre 31/10/2004) |
20 |
1 |
Certificate in Investment Planning - Paper 1 (Pre 16/09/2004) |
20, 21, 22 |
3 |
MAPC - Paper 1 (Pre 16/09/2004) |
20 |
3 |
Mortgage Advice and Practice Certificate - Paper 1 (Post 17/09/2004) |
20, 21 |
3 |
Equity Release Mortgage Advice and Practice Certificate (ERMAPC) |
21, 22 |
1 |
Lifetime Mortgage Advice and Practice Certificate |
MAPC Bridge paper plus entry requirements (Pre 16/09/2004) |
Certificate in Mortgage Advice and Practice (MAPC) (Pre 16/09/2004) - Paper 1 |
21, 22 |
3 |
Equity Release Mortgage Advice and Practice Certificate (ERMAPC) |
23 |
4 |
23 |
5 |
23 |
6 |
Chartered Institute of Management Accountants |
Fellow or Associate |
15, 16, 17, 18, 19 |
4 |
Chartered Institute of Public Finance and Accountancy |
Fellow or Associate |
15, 16, 17, 18, 19 |
4 |
Chartered Institute for Securities and Investment (CISI) - (Formerly the Securities and Investment Institute (SII); formerly The Securities Association) |
25Certificate in Pension Transfers and Planning Advice (when combined with an RDR compliant qualification for Activities 4 and 6) |
2511 |
251 |
Investment Advice Diploma (where candidate holds 3 modules including the private client advice module) |
4 and 6 |
a |
22Investment Advice Diploma (where candidate holds 3 modules including the Financial Planning and Advice module) |
224 and 6 |
29Investment Advice Diploma (where candidate holds 3 modules including Retail Advice and Planning) |
4 and 6 |
Investment Advice Diploma (where candidate holds 3 modules including the derivatives module) |
3, 13 |
Certificate in International Advanced Wealth Management (Level 4) (provided it is accompanied by appropriate examinations in Regulation and Ethics, Investment Principles and Risk and Personal Taxation)31 |
2, 1231 |
Investment Advice Diploma (where candidate holds 3 modules including the securities module) |
2, 12 |
Masters in Wealth Management (Post 2010 examination standards) |
2, 3, 4 and 6, 12, 13 |
Certificate in Private Client Investment Advice and Management |
2, 3, 4 and 6, 12, 13 |
b |
14 and 10 |
1 |
Certificate in Private Client Investment Advice and Management (attained through a CISI competency interview and presentation only) |
2, 3, 4 and 6, 12, 13 |
b |
14 and 10 |
1 |
Diploma (where candidate holds 3 modules as recommended by the firm) |
2, 3, 4 and 6, 12, 13 |
b |
Investment Advice Certificate |
2, 3, 4 and 6, 12, 13 |
b |
Masters in Wealth Management (Pre 2010 examination standards) |
2, 3, 4 and 6, 12, 13 |
b |
Member of the Securities Institute (MSI Dip) (where candidate holds 3 modules as recommended by the firm) |
2, 3, 4 and 6, 12, 13 |
b |
Certificate in Corporate Finance |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
Certificate in Derivatives - Paper 2 |
15, 16, 17, 18, 19 |
4 |
Certificate in Investment and Financial Advice - Paper 1 |
21, 22 |
3 |
Certificate in Investment Management (Level 3, pre 31 December 2013)13 |
8 |
1 |
15, 16, 17, 19 |
4 |
15, 16, 17 |
5 |
14 and 10 |
113 |
13Certificate in Investment Management (Level 4) |
14 and 10 |
1 |
Certificate in Investment Management - Paper 2 |
8 |
2 |
14 and 10 |
Certificate in Securities |
8 |
1 |
Certificate in Securities - Paper 2 |
15, 16, 17, 18, 19 |
4 |
Certificate in Securities and Derivatives - Paper 2 |
19 |
4 |
Certificate in Securities and Financial Derivatives |
8 |
1 |
Certificate in Securities and Financial Derivatives - Paper 2 |
15, 16, 17, 18 |
4 |
Client Services Qualification |
15, 16, 17, 18, 19 |
4 |
Diploma |
15, 16, 17, 18, 19 |
4 |
Diploma - Corporate Finance Paper |
8 |
2 |
Diploma - Global Operations Management Module |
15, 16, 17, 18, 19 |
4 |
15, 16, 17 |
5 |
6 |
Diploma - International Operations Management Module |
15 |
4 |
15, 16 |
5 |
6 |
17 |
4 |
5 |
6 |
Diploma - International Operations Module |
16, 18, 19 |
4 |
Diploma - Operations Management Module |
15, 16, 17, 18, 19 |
4 |
15, 17 |
5 |
15, 16, 17 |
6 |
Diploma - Regulation and Compliance Module |
8 |
3 |
14 and 10 |
15, 16, 17, 18, 19 |
5 |
Diploma (must include a pass in Regulation and Compliance Paper) |
8 |
1 |
Diploma (where candidate holds 3 modules as recommended by the firm) |
14 and 10 |
1 |
12Diploma in Corporate Finance (awarded jointly with The Institute of Chartered Accountants in England and Wales)15 |
8 |
1 |
Investment Administration Qualification - Asset Servicing Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Basics of CREST Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Bond Settlement Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Collective Investment Schemes Administration Module |
15, 16, 17 |
6 |
Investment Administration Qualification - CREST Settlement Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Derivatives Operations Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Exchange - Traded Derivative Administration Module |
15, 16, 17 |
6 |
Investment Administration Qualification - FSA Regulatory Environment Module |
15, 16, 17 |
5 |
Investment Administration Qualification - Global Custody Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Global Securities Operations Module |
16, 17 |
6 |
Investment Administration Qualification - Global Settlement Module |
15, 16, 17 |
6 |
Investment Administration Qualification - IMRO Regulatory Environment Module |
8 |
3 |
14 and 10 |
15, 16, 17, 18, 19 |
5 |
Investment Administration Qualification - Introduction to Securities and Investment Module |
15, 16, 17, 18, 19 |
4 |
Investment Administration Qualification - ISA Administration Module |
15, 16, 17 |
6 |
Investment Administration Qualification - ISA and CTF Administration Module |
15, 16,16 17 |
6 |
Investment Administration Qualification - ISA and PEP Administration Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Life Policy Administration Module |
18 |
6 |
Investment Administration Qualification - OEIC Administration Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Operational Risk Module |
15, 16, 17 |
6 |
Investment Administration Qualification - OTC Derivatives Administration Module |
15, 16 |
6 |
Investment Administration Qualification - Pensions Administration Module |
19 |
6 |
Investment Administration Qualification - PEP Administration Module |
15, 16, 17 |
6 |
Investment Administration Qualification - Portfolio Performance Measurement Module |
15, 16 |
6 |
Investment Administration Qualification - Private Client Administration Module |
15, 16, 17 |
6 |
Investment Administration Qualification - SFA Regulatory Environment Module |
8 |
3 |
14 and 10 |
15, 16, 17, 18 |
5 |
Investment Administration Qualification - Unit 2 FSA Regulatory Environment - (Formerly the Investment Administration Qualification - Regulatory Environment Module) |
8 |
3 |
14 and 10 |
18, 19 |
5 |
Investment Administration Qualification - Unit Trust Administration Module |
15, 16, 17 |
6 |
Investment Advice Certificate |
14 and 10 |
1 |
Investment Advice Certificate - Paper 1 |
15, 16, 17, 18, 19 |
4 |
5 |
Investment Advice Certificate - Paper 1 (No new registrations) |
20, 21, 22 |
3 |
Investment Advice Certificate - Paper 2 |
18, 19 |
6 |
Investment Advice Diploma (where candidates hold technical modules as recommended by the firm) |
14 and 10 |
1 |
Investment Operations Certificate - Asset Servicing Module |
15, 16, 17 |
6 |
Investment Operations Certificate – Client Money and Assets20 |
1620 |
620 |
Investment Operations Certificate - Collective Investment Schemes Administration Module |
15, 16, 17 |
6 |
Investment Operations Certificate - CREST Settlement Module |
15, 16, 17 |
6 |
Investment Operations Certificate - Exchange - Traded Derivative Administration Module |
15, 16, 17 |
6 |
Investment Operations Certificate - UK13 Financial Regulation Module 13 |
8 |
3 |
14 and 10 |
15, 16, 17, 18, 19 |
5 |
Investment Operations Certificate - Global Securities Operations Module |
17 |
6 |
Investment Operations Certificate - Global Securities Operations Module |
16 |
6 |
Investment Operations Certificate - Introduction to Securities and Investment Module |
15, 16, 17, 18, 19 |
4 |
Investment Operations Certificate - ISA Administration Module |
15, 16, 17 |
6 |
Investment Operations Certificate - Operational Risk Module |
15, 16, 17 |
6 |
Investment Operations Certificate - OTC Derivatives Administration Module |
15, 16 |
6 |
18Investment Operations Certificate - Platforms, Wealth Management and Service Providers |
15, 16 |
6 |
Investment Operations Certificate - Administration of Settlement & Investments Module (previously known as the Private Client Administration Module)12 12 |
15, 16, 17 |
6 |
Investment Operations Certificate - Transfer Agency Administration & Oversight Module31 |
15, 16, 1731 |
631 |
Level 3 Certificate in Investments (Derivatives) - Unit 3 |
15, 16, 17, 18, 19 |
4 |
Level 3 Certificate in Investments (Investment Management) |
14 and 10 |
1 |
15, 16, 17, 18, 19 |
4 |
15, 16, 17 |
5 |
Level 3 Certificate in Investments (Investment Management) - Unit 5 |
8 |
2 |
14 and 10 |
Level 3 Certificate in Investments (Securities and Financial Derivatives) |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
Level 3 Certificate in Investments (Securities) |
8 |
1 |
Level 3 Certificate in Investments (Securities) - Unit 2 |
15, 16, 17, 18, 19 |
4 |
Level 6 Diploma in Wealth Management |
14 and 10 |
1 |
Masters in Wealth Management |
14 and 10 |
1 |
Member of the Securities Institute by examination |
15, 17, 19 |
4 |
Principles of UK13 Financial Regulation |
8 |
3 |
18, 19 |
5 |
SFA Corporate Finance Representative Examination |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
SFA Futures and Options Representative Examination |
15, 16, 17, 18, 19 |
4 |
15, 16, 17 |
5 |
SFA Registered Persons Examination - Section 1 (Regulation) |
8 |
3 |
14 and 10 |
15, 16, 17, 18, 19 |
5 |
SFA Securities and Financial Derivatives Representative Examination |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
15, 16, 17 |
5 |
SFA Securities Representative Examination |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
16, 17 |
5 |
TSA Registered Representative Examinations |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
15, 16 |
5 |
Unit 1 - Financial Regulation |
14 and 10 |
3 |
Unit 1 Financial Regulation (Formerly the Securities Institute Regulatory Paper) |
8 |
3 |
15, 16, 17, 18, 19 |
5 |
Unit 6 - Principles of UK13 Financial Regulation |
14 and 10 |
3 |
15, 16, 17 |
5 |
Chartered Insurance Institute |
Certificate in Advanced Mortgage Advice |
20 |
116 |
Certificate in Pension Transfer Advice23 (meets requirement until 30 September 2020)29 |
1123 |
123 |
Certificate in Securities Advice and Dealing |
2, 12 |
a |
CII Level 6 Award in Regulated Pension Transfer Advice / Unit AF7 (only when combined with an RDR compliant qualification for Activities 4 and 6) 29 |
11 |
1 |
Diploma in Financial Planning (with appropriate gap fill) plus the Award in Long Term Care Insurance |
7 |
116 |
Diploma in Financial Planning (subject to gap fill) + AF7 Pension Transfers23 |
1123 |
123 |
Diploma in Regulated Financial Planning |
4 and 6 |
a |
Diploma in Regulated Financial Planning (attained through a CII alternative assessment day) |
Diploma in Regulated Financial Planning plus the Award in Long Term Care Insurance |
7 |
116 |
Fellow or Associate (life and pensions route only) |
2, 3, 12, 13 |
b |
Advanced Financial Planning Certificate |
2, 3, 4 and 6, 12, 13 |
b |
Diploma in Financial Planning |
4 and 6 |
b |
Fellow (FCII) (where candidates hold appropriate life and pensions modules) |
Fellow (FLIA Dip) |
Advanced Diploma in Financial Planning |
Associate (ACII) (where candidate holds appropriate life and pension modules) |
Associate (ALIA Dip) |
12Diploma in Financial Planning plus a pass in J12: Securities advice and dealing |
2, 1213 13 |
a13 13 |
Certificate in Financial Planning plus the Award in Long Term Care Insurance |
7 |
1 |
G80 paper of Advanced Financial Planning Certificate (October 2004) plus appropriate exam requirements for TC 2.1.4R(1)(f) |
G70 Paper of the Advanced Financial Planning Certificate |
8 |
1 |
Award in London Market Insurance |
9 |
1 |
Until 30 September 2020,29 Fellow or Associate including three pensions-related subjects as confirmed by the examining body. From 1 October 2020, only when combined with an RDR compliant qualification for Activities 4 and 6.29 |
11 |
1 |
Until 30 September 2020,29 G60 paper of Advanced Financial Planning Certificate. From 1 October 2020, only when combined with an RDR compliant qualification for Activities 4 and 6.29 |
Until 30 September 2020,29 Unit AF3 of the Advanced Diploma in Financial Planning. From 1 October 2020, only when combined with an RDR compliant qualification for Activities 4 and 6.29 |
Certificate of Insurance Practice |
18 |
4 |
Certificate of Insurance Practice (life or pensions route) |
18 |
6 |
FA1 - Life office administration |
Fellow or Associate (life and pensions route only) |
Life assurance paper (735) from the Associateship |
Certificate of Insurance Practice (Pensions route) |
19 |
6 |
Fellow or Associate (Pensions route) |
Certificate in Mortgage Advice |
20 |
1 |
Certificate in Equity Release (Formerly known as Certificate in Financial Planning and Lifetime Mortgages) |
21, 2225 |
1 |
2325 |
425 |
525 |
625 |
25 |
25 |
25 |
25 |
25 |
25 |
25 |
25 |
25 |
Advanced Financial Planning Certificate (must include a pass in G70 paper) |
14 and 10 |
1 |
Certificate in Discretionary Investment Management |
Fellow or Associate |
15, 16, 17, 18, 19 |
4 |
Financial Planning Certificate - Paper 1 |
15, 16, 17, 18, 19 |
4 |
15, 16, 17, 18, 19 |
5 |
CF1 - UK financial services, regulation and ethics |
10, 14,20 15, 16, 17, 1318, 19 |
3,20 4 |
10, 14,20 15, 16, 17, 1318, 19 |
3,20 513 |
13RO1 Paper: Regulation and Ethics |
10, 14,20 15, 16, 17, 18, 19 |
3,20 4 |
10, 14,20 15, 16, 17, 18, 19 |
3,20 5 |
FA2 - Pensions administration paper |
18, 19 |
613 |
Financial Planning Certificate - Paper 2 |
22(LP1) Life and pensions customer operations; (LP2) Financial services products and solutions; and (LP3) Life and pensions principles and practices (where candidate holds all 3 modules) |
2215, 16, 17, 18, 19 |
224 and 5 |
Pensions law, taxation and administration paper (740) from the Associateship |
18, 19 |
613 |
13Certificate in Investment Operations: Collective Investment Scheme Administration paper (FA4) |
15, 16, 17 |
6 |
13Certificate in Investment Operations: Individual Savings Account Administration paper (FA5) |
151516, 17 |
6 |
13Certificate in Investment Operations: Investment Client Servicing paper (FA6) |
15, 16, 17 |
6 |
Certificate in Mortgage Advice - Paper 1 |
20, 21 |
3 |
Mortgage Advice Qualification (MAQ) plus entry requirements |
20, 21, 22 |
1 |
Financial Planning Certificate - Paper 1 (No new registrations after 17/12/2004) |
20, 21, 22 |
313 |
13Deutsche Boerse AG |
Certified Securities Trader (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) |
2, 12 |
b |
13Deutsche Boerse AG 15 |
Certified Derivatives Trader (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) |
2, 12 |
b |
3, 13 |
a |
EFFAS Societies with accredited examinations |
Certified European Financial Analyst |
14 and 10 |
2 |
Faculty or Institute of Actuaries |
Fellow or Associate or where the individual has passed all of the following modules CT1, CT2, CT4, CT5, CT6, CT7 and CT8 |
2, 3, 4 and 6, 12, 13 |
a |
14 and 10 |
1 |
Associate - achieved by examination passed before 1 December 2001 (must include a pass in Subject 301 - Investment and Asset Management (syllabus in force from 1998) |
14 and 10 |
1 |
Associate - achieved by examination passed after 1 December 2001 (must include a pass in subject 301 - Investment and Asset Management (syllabus in force from 1998) |
14 and 10 |
2 |
12 |
|
|
Fellow - achieved by examination (must include a pass in subjects 301 and 401 Investment and Asset Management (syllabus in force from 1998)) |
14 and 10 |
1 |
Fellow or Associate |
11 |
1 |
16, 17, 18, 19 |
4 |
18, 1912 |
6 |
Fellow or Associate by examination (must include Investment Paper E (Syllabus in force until 1998)) |
14 and 10 |
1 |
Fellow or where the individual has passed all of the following modules CA1 and SA2 |
18 |
4 |
Financial Industry Regulatory Authority (FINRA) - Formerly the National Association of Securities Dealers (NASD) |
Series 7 - General Securities Representatives Examination (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) |
2, 3, 12, 13 |
b |
Financial & Legal 15Skills Partnership (formerly the Financial Skills Partnership/15Financial Services Skills Council (FSP/15FSSC)) |
FLSP15 Advanced/Modern15 Apprenticeship in Advising on Financial Products (Long Term Care Insurance Pathway) 15 |
7 |
1 |
FLSP Level 315 Advanced/Modern15 Apprenticeship in Retail or Providing15Financial Services (Investment Administration or Operations15 Pathway including either Asset Servicing / CREST Settlement / Global Securities or ISA and CTF Administration) 15 |
17 |
6 |
FLSP Level 315 Advanced/Modern15 Apprenticeship in Retail or Providing 15Financial Services (Investment Administration or Operations15 Pathway including FSA Regulatory Environment or Principles of Financial Regulation) 15 |
17 |
5 |
FLSP Level 315 Advanced/Modern 15 Apprenticeship in Retail or Providing 15Financial Services (investment Administration or Operations15 Pathway including the Introduction to Securities and Investment module) 15 |
17 |
4 |
FLSP Level 315 Advanced/Modern 15Apprenticeship in Retail or Providing 15Financial Services (Long Term Insurance or Life, Pensions and Investments or Pensions Administration15 Pathway including CF1) 15 |
18 |
4 |
FLSP Level 315 Advanced/Modern15 Apprenticeship in Retail or Providing 15Financial Services (Long Term Insurance or Life, Pensions and Investments or Pensions Administration15 Pathway including CF1) 15 |
18 |
5 |
FLSP Level 315 Advanced/Modern15 Apprenticeship in Retail or Providing 15Financial Services (Long Term Insurance or Life, Pensions and Investments or Pensions Administration15 Pathway including CF1 and either FA1 or FA2) 15 |
18 |
6 |
FLSP Level 315 Advanced/Modern15 Apprenticeship in Retail or Providing 15Financial Services (Long Term Insurance or Life, Pensions and Investments or Pensions Administration15Pathway including CF1 and FA2) 15 |
19 |
1 |
FLSP Level 315 Advanced Apprenticeship in Advising on Financial Products (Mortgage Advice Pathway) or Level 3 Advanced Apprenticeship in Providing Mortgage Advice15 15 |
20 |
1 |
ICMA Centre/ University of Reading (Formerly ISMA Centre/ University of Reading) |
Diploma in Capital Markets, Regulation and Compliance |
17 |
5 |
Operations Certificate Programme (OCP) |
16, 17 |
6 |
Institute of Chartered Accountants in England and Wales |
Fellow or Associate |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
Initial Test of Competence |
18, 19 |
6 |
Diploma in Corporate Finance (awarded jointly with The Institute of Chartered Accountants in England and Wales)15 |
815 |
215 |
Institute of Chartered Accountants in Ireland |
Fellow or Associate |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
Initial Test of Competence |
19 |
6 |
Institute of Chartered Accountants in Scotland |
Member |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
Initial Test of Competence |
19 |
6 |
Institute of Chartered Secretaries and Administrators |
Certificate in Collective Investment Scheme Administration |
15, 16, 17, 18 |
4 |
5 |
15, 16 |
6 |
19 |
4 |
Certificate in Company Secretarial Practice and Share Registration Practice (including the Regulatory module within the examination) |
15, 16. 17 |
4 |
5 |
6 |
Fellow or Associate |
15, 16, 17, 18, 19 |
4 |
Institute of Financial Planning (until 1 November 2015)25 |
Certified Financial Planner (syllabus in force until 31 October 2015)25 |
4 and 6 |
b |
Fellowship (syllabus in force until 31 October 2015)25 |
Insurance Sector Education and Training Authority |
National Diploma: Financial Services Long-Term Risk Assessment |
7 |
2 |
Investment Management Association |
Investment Administration Management Award |
15, 16, 17 |
6 |
Investment Property Forum |
IPF Certificate in Property Investment |
14 and 10 |
2 |
Japanese Bankers Association |
Registered Representative of Public Securities Examination (pre-April 1990) |
8 |
2 |
Representative of Public Securities Qualification - Class 1 |
Japanese Securities Dealers Association |
Representative of Public Securities Qualification - Type 1 (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation |
2, 3, 12, 13 |
b |
Representative of Public Securities Examination (pre April 1990) |
8 |
2 |
Representative of Public Securities Qualification - Type 1 |
Law Society of England and Wales |
Module B(ii), Securities and Portfolio Management |
8 |
2 |
Module B(i), Retail Branded/ Packaged Products |
18, 19 |
6 |
Law Society of England and Wales/ Law Society of Northern Ireland |
Solicitor |
15 |
4 |
Law Society of England and Wales/ Law Society of Scotland/ Law Society of Northern Ireland |
Solicitor |
17, 18, 19 |
4 |
Lloyd's |
Lloyd's and London Market Introductory Test (Formerly the Lloyd's Introductory Test) |
9 |
1 |
Lloyd's/ Chartered Insurance Institute |
Lloyd's Market Certificate |
9 |
1 |
London Stock Exchange (records are now kept by The Chartered Institute for Securities and Investment (CISI); Formerly the Securities and Investment Institute (SII); formerly The Securities Association) |
London Stock Exchange Full Membership Exams (and other regional stock exchanges as merged with London Stock Exchange) - where candidate holds three or four papers or holds both the Stock Exchange Practice and Techniques of Investment papers |
2, 3, 4 and 6, 12, 13 |
b |
14 and 10 |
1 |
Stock Exchange Registered Representative Examination |
8 |
1 |
15, 16, 17, 18, 19 |
4 |
15, 16 |
5 |
Manchester Metropolitan University |
BA (Hons) Financial Services, Planning and Management |
2, 3, 4 and 6, 12, 13 |
a |
N/A |
In-house module (only where the firm can demonstrate that none of the listed examinations are appropriate) |
15, 16, 17, 18, 19 |
6 |
NIBE SVV the Dutch Institute for the Banking, Insurance and Stockbroking Industry |
Examination |
8 |
2 |
Pensions Management Institute |
Diploma in Regulated Retirement Advice |
4 and 6 |
a |
11 |
1 |
Fellow or Associate by examination |
11 |
1 |
Module 201: Providing for Retirement |
19 |
4 |
512 |
612 |
Fellow or Associate |
15, 16, 17, 18, 19 |
4 |
Diploma in Member-Directed Pension Scheme Administration |
18 |
6 |
Fellow or Associate by examination |
18, 19 |
6 |
Sheffield Hallam University |
BA in Financial Services (1995 to 2001) |
4 and 6 |
b |
MA in Financial Services (1995 to 2001) |
Post Graduate in Financial Services (1995 to 2001) |
15SIX Swiss Exchange |
Certified Securities Trader the Swiss Markets Insight course (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) |
2, 12 |
b |
Society of Investment Analysts in Ireland |
Certificate in Investment Management (at least 3 papers passed by examination) |
14 and 10 |
2 |
South African Institute of Financial Markets |
Ordinary and Senior Certificates |
8, 14 and 10 |
2 |
Swiss Finance Institute |
Dual degree Executive MBA in Asset and Wealth Management |
14 and 10 |
2 |
22The Institute of Banking in Ireland (Formerly the Chartered Institute of Bankers in Ireland) |
22Fellow or Associate |
2215, 16, 17, 18, 19 |
224 |
22Professional Certificate in International Investment Fund Services |
2215, 16, 17 |
226 |
The London Institute of Banking & Finance (formerly the ifs University College and the ifs School of Finance/Chartered Institute of Bankers)23 151515 |
Diploma for Financial Advisers (post 2010 examination standards) |
4 and 6 |
a |
Professional Certificate in Banking (PCertB) (where candidate has passed the Practice of Financial Advice module) |
Level 6 Diploma in Financial Advice (Adv Dipfa) |
4 and 6 |
a16 |
Associateship - (must include a pass in the Investment / Investment Management Paper) |
2, 3, 4 and 6, 12, 13 |
b |
Diploma for Financial Advisers (pre 2010 examination standards) |
4 and 6 |
b |
Professional Investment Certificate |
Certificate for Financial Advisers and Certificate in Long-term Care Insurance |
7 |
1 |
29Level 4 Certificate in Long Term Care and Later Life Planning (CertLTCP) |
7 |
1 |
Pension Transfers when combined with either a29 Diploma for Financial Advisers (DipFA®) post 2010 exam standards or an RDR compliant qualification for Activities 4 and 629 |
11 |
116 |
Pensions paper of Professional Investment Certificate |
11 |
1 |
Certificate for Financial Advisers - Paper 1 |
15 |
5 |
Fellow or Associate |
15, 16, 17, 18, 19 |
4 |
Certificate for Financial Advisers - Paper 1 (Pre 31/10/2004) |
15, 16, 17, 18, 19 |
4 |
5 |
20, 21, 22 |
3 |
Certificate for Financial Advisers - Paper 1 (Post 01/11/2004) |
18, 19 |
4 |
5 |
Certificate for Financial Advisers - Paper 2 (Pre 31/10/2004) |
18, 19 |
6 |
CeMAP Bridge paper plus entry requirements |
20 |
1 |
Certificate in Mortgage Advice and Practice (Post 01/11/2004) |
20 |
1 |
Diploma for Mortgage Advice and Practice DipMAP (plus entry requirements) |
20 |
1 |
CeMAP bridge paper plus entry requirements (Pre 31/10/2004) |
21, 22 |
1 |
Certificate in Mortgage Advice and Practice (CeMAP) (Pre 31/10/2004) - Paper 1 |
20, 21 |
3 |
Certificate in Mortgage Advice and Practice (Post 01/11/2004) - Paper 1 |
20, 21 |
3 |
Certificate in Mortgage Advice and Practice (CeMAP) (Pre 31/10/2004) |
20, 21, 22 |
1 |
Certificate in Regulated Equity Release (Formerly known as Certificate in Lifetime Mortgages) |
21, 22 |
1 |
23 |
4 |
23 |
5 |
23 |
6 |
The Securities Analysts Association of Japan (SAAJ) |
CMA Level 2 (for individuals advising before 30 June 2009) |
2, 3, 12, 13 |
b |
CMA Level 2 (for individuals not advising before 30 June 2009 - provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) |
CMA Level 2 |
8 |
2 |
Secondary Examination |
Chartered Member |
14 and 10 |
2 |
University of Northampton |
BSc Banking and Financial Planning |
4, 6 |
a16 |
19University of South Wales |
BSc (Hons) Financial Planning, Investment and Risk |
4 and 6 |
a |
University of Stirling |
BA in Finance |
2, 4 and 6, 12 |
b |
BA in Finance and Accounting |
2, 3, 4 and 6, 12, 13 |
b |
MSc in Finance |
2, 3, 12, 13 |
b |
MSc in international Accounting and Finance (where candidates hold modules as recommended by the firm) |
2, 3, 12, 13 |
b |
8 |
2 |
14 and 10 |
1 |
MSc in Investment Analysis |
2, 3, 12, 13 |
b |
14 and 10 |
1 |
University of the West of England |
BA in Financial Services (1995 to 2001) |
4 and 6 |
b |
MA in Financial Services (1995 to 2001) |
Post Graduate in Financial Services (1995 to 2001) |