AF5 (Financial Planning Process)
This examination assesses the candidate to develop an understanding of the financial planning process when giving advice to clients.
G10 (Taxation and Trusts)
This examination assesses a knowledge and understanding of the UK tax system, the law and practice of trusts, but also an ability to advise individual clients on the tax treatment of their investments and the use of trusts to meet their current and foreseeable future needs.
G20 (Personal Investment Planning)
This examination assesses a knowledge and understanding of investments and an ability to advise individual clients on the construction of investment portfolios to meet both their current and foreseeable future needs.
G30 (Business Financial Planning)
This examination demonstrates that the individual has a knowledge and understanding of all financial planning aspects of running a business and an ability to advise clients appropriately.
G60 (Pensions)
This examination enhanced general pension knowledge, particularly in pension transfers and opt-out business.
J05 (Pension Income Options)
At the end of this unit, candidates should be able to demonstrate an understanding of the: process of decumulating pension funds and the main issues for clients and advisers; main choices facing members of pensions schemes during decumulation; features, risks and tax treatment of the secured pension option; features, risks and tax treatment of the unsecured pension option; features, risks and tax treatment of phased retirement; features, risks and tax treatment of the alternatively secured pension option.
J06 (Investment Principles, Markets and Environment)
At the end of this unit, candidates should be able to demonstrate an understanding of: how the economic environment and individual company performance affects investment performance and investment decision-making; how risk is measured and managed; the main principles governing how to construct an investment portfolio; the range of investment management services, how their performance is evaluated and their regulatory environment.
J10 (Discretionary Investment Management)
At the end of this unit, candidates should be able to analyse and apply financial information and portfolio management skills.
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.
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.
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.
Advanced Diploma in Financial Planning
This qualification enables professional advisers to develop specialist planning capabilities, covers topics such as: personal tax and trust, business financial, pension and investment planning.
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.
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.
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.
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.
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