J10 (Discretionary Investment Management)
At the end of this unit, candidates should be able to analyse and apply financial information and portfolio management skills
J12 (Securities Advice and Dealing)
This qualification develops knowledge and understanding of the features and risks of different securities, the structure and features of the securities market and relevant factors and considerations for appropriate investment recommendations.
R01 (Financial Services, Regulation and Ethics)
This qualification assesses a knowledge and understanding of the financial services industry, including regulation, legislation and the Code of Ethics.
R02 (Investment Principles)
This qualification assesses a knowledge and understanding of investment products and the application of the investment advice process.
R03 (Personal Taxation)
This qualification assesses a knowledge and understanding of the UK taxation system, and the ability to analyse the taxation treatment of individuals and trusts during the investment advice process.
R04 (Pensions and Retirement Planning)
This qualification assesses a knowledge and understanding of and ability to analyse pension and retirement planning issues.
R06 (Financial Planning Practice)
This qualification helps advisers develop and demonstrate their financial planning capabilities.
CertPFS (DM) (Certificate in Discretionary Investment Management)
The RQF Level 4 Certificate in Discretionary Investment Management develops the wealth strategy and portfolio management skills required for effective discretionary investment management. The qualification satisfies the FCA appropriate qualification requirements for this class of business.
CertPFS (Securities) (Certificate in Securities Advice and Dealing)
This certificate satisfies the FCA appropriate qualification requirement for those advising or dealing in securities, developing in-depth knowledge of investment and securities products, the UK taxation system and considerations for appropriate investment recommendations.
CertCII (Life and Pensions) Certificate in Financial Planning (Life & Pensions route)
The life and pensions route builds knowledge and understanding of the sector’s role and its activities. It considers important customer needs, solutions and products, and how individuals and organisations work within the regulatory and legislative environment.
AF5 (Financial Planning Process)
This examination assesses the candidate to develop an understanding of the financial planning process when giving advice to clients.
AF7 (Pension Transfers)
The qualification develops the specialist knowledge and skills needed for advising on the transfer of safeguarded benefits.
FP1 (Financial Services and their Regulation)
Assesses an understanding of the financial services industry, including regulation and legislation.
FP2 (Protection, Savings and Investment)
Assesses an understanding of protection, savings and investment products.
FP3 (Identifying and Satisfying Client Needs)
Assesses an understanding of conducting a fact-find, assessing the client’s needs, and recommending specific (appropriate) financial products to meet those needs.
DipPFS (Diploma in Financial Planning)
This level 4 diploma meets the FCA’s qualification requirements for retail investment advisers, demonstrating core technical knowledge and financial planning capabilities across six core areas.
FPC (Financial Planning Certificate)
A recognition offered by the Chartered Insurance Institute in the United Kingdom. Individuals who hold this qualification have satisfied coursework and testing requirements set by the organisation.
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