Source: https://www.handbook.fca.org.uk/handbook/TC/App/4/1.html?date=2018-01-02
Timestamp: 2020-01-24 17:03:10
Document Index: 337676283

Matched Legal Cases: ['art 1', 'art 1', 'art 2', 'art 2', 'art 2', 'art 2', 'art 2', 'art 2', 'art 2']

TC App 4.1 Appropriate Qualification tables - FCA Handbook
TC App 4
24TC App 4.1 is relevant to TC 2.1.10E (selecting an appropriate qualification).
TC App 4.1.1E 13/09/2017 RP
5106789
Part 1: Activities
Note: The activity numbers in this table relate to the activities14 in TC App 1.1.1 R. These tables do not cover activities 1, 5, 13A, 13B, 13C, 20A, 21B,14 23A, 23B, 23C, 23D, 23E,17 24, 25 or 26 as these activities do not have a qualification requirement.21 In relation to advising on P2P agreements (activity 9A), see TC 2.1.5HR and TC 2.1.6R(2).
24Part 1A: The Retail Distribution Review activities (RDR activities)
RDR24 Activity
Advising on securities which are not stakeholder pension schemes, personal pension schemes or broker funds
Advising on derivatives
(4) Advising on retail investment products which are not broker funds and (6) advising on friendly society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
Advising on and dealing in securities which are not stakeholder pension schemes, personal pension schemes or broker funds
Advising on and dealing in derivatives
Extent to which the qualification meets the qualification requirement in relation to RDR activities
TC App 4.1.1AE 09/05/2017 RP
Advising on long-term care insurance contracts
Advising on investments in the course of corporate finance business
Extent to which the qualification meets the qualification requirement in relation to non-RDR activities
TC App 4.1.1BE 09/05/2017 RP
24In relation to the above non-RDR activities a qualification in the table in Part 2 will meet the qualification requirement in relation to the activities in column 3 of the table, for the purpose of TC 2.1.10E(2), to the extent set out below.
Where a ‘1’ appears in the fourth column of Part 2, that qualification alone will fully meet the appropriate qualification requirement.
Where a ‘2’ or ‘3’ appears in the fourth column of Part 2, two qualifications must be obtained: one being any qualification in the table denoted by a ‘2’ and the other being any qualification in the table denoted by a ‘3’. Together those qualifications will fully meet the qualification requirement.
Where a ‘4’, ‘5’ or ‘6’ appears in the fourth column of Part 2, three qualifications must be obtained: one being any qualification in the table denoted by a ‘4’, another being any qualification in the table denoted by a ‘5’ and the other being any qualification in the table denoted by a ‘6’. Together those qualifications will fully meet the qualification requirement.
TC App 4.1.1CG 13/09/2017 RP
24To meet the appropriate qualification requirement, a qualification is expected to meet the appropriate qualification criteria (TC App 5) and the content should cover both technical aspects in relation to the activity number in column 3 of the table in Part 2 as well as the regulation and ethics concerning those activities. Some of the qualifications in the table in Part 2 deal with all aspects and some only deal with certain aspects, as follows:
a ‘1’ refers to a syllabus which contains all aspects, namely technical, regulation and ethics;
a ‘2’ or a ‘6’ refers to a syllabus which only deals with aspects of a technical nature;
a ‘3’ or a ‘5’ refers to a syllabus which only deals with aspects of regulation and ethics; and
a ‘4’ refers to a syllabus which is only of an introductory nature.
Part 2: Appropriate Qualifications Tables
Note: A qualification is deemed an appropriate qualification if it appears in this table and is attained within the relevant time period, where one is indicated by the dates set out in the qualification column.18
Qualification provider
Activity Number(s)
ACI Diploma (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation)
2, 3, 12, 13
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)
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)
CIIA qualification (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation)
Member or Affiliate
Fellow or Associate
MCT Advanced Diploma (Member or Fellow) or AMCT Diploma in Treasury (Associate Member)16
Certified International Wealth Manager Diploma (CIWM)
Blackburn College - University Centre
Foundation Degree Award in Financial Services
BA in Financial Services (1995 to 2001)
MA in Financial Services (1995 to 2001)
Post Graduate in Financial Services (1995 to 2001)
18Calibrand / Chartered Institute of Bankers in Scotland
Diploma in Professional Financial Advice (Post 30/4/2014)
Calibrand / Scottish Qualifications Authority
Diploma in Professional Financial Advice(Pre 1/8/2018)18
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
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
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
MSC in Banking and International Finance (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation)
12MSC in Investment Management pre 2003 syllabus (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation)
16CFA Institute
The CFA Institute Investment Foundations Certificate - (Formerly the 25Claritas Investment Certificate)25
15, 16, 17,18, 19
CFA Institute and the CFA Society of the UK
Level 1 of CFA Program plus Investment Management Certificate (Level 4)12
Completion of CFA Program plus Investment Management Certificate Unit 1: The investment environment (Level 4)12
Holder of Associate qualification (associate member)12
Level 1 of CFA Program plus Investment Management Certificate (Level 3)12
Completion of CFA Program plus Investment Management Certificate Unit 1: UK Regulation and Markets (level 3)12
Holder of Associate qualification (Fellow)12
CFA Program (Level 1)
Fellow or Associate by examination
Investment Management Asset Allocation Qualification13
Investment Regulation and Practice Paper of the Associate Examination
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
Investment Management Certificate (Level 4) plus other qualifications that meet specialist standards for advising on packaged products
Investment Management Certificate (Level 4) plus other qualifications that meet specialist standards for advising on derivatives
Investment Management Certificate (Level 3 or 4)12
Investment Practice Paper (Unit 2) of Investment Management Certificate (Level 3 or 4)12
Investment Management Certificate Unit 1: UK Regulation and Markets (Level 3) or Investment Management Certificate Unit 1: The Investment Environment (Level 4)12
Chartered Alternative Investment Analysis Association (CAIA)
CAIA Level 1 (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation)
Diploma in Investment Planning (Existing Adviser) (18Post 2010 examination standards and Pre 1/6/2015)18
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))
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)
Certificate in Investment Planning - Paper 1
15, 16, 18, 19
Certificate in Investment Planning
Member or Associate
Mortgage Advice and Practice Certificate
Certificate in Mortgage Advice and Practice (MAPC) (Pre 16/09/2004)
MAPC bridge paper plus entry requirements (Pre 31/10/2004)
Certificate in Investment Planning - Paper 1 (Pre 16/09/2004)
MAPC - Paper 1 (Pre 16/09/2004)
Mortgage Advice and Practice Certificate - Paper 1 (Post 17/09/2004)
Equity Release Mortgage Advice and Practice Certificate (ERMAPC)
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
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)
Investment Advice Diploma (where candidate holds 3 modules including the private client advice module)
22Investment Advice Diploma (where candidate holds 3 modules including the Financial Planning and Advice module)
224 and 6
Investment Advice Diploma (where candidate holds 3 modules including the derivatives module)
Investment Advice Diploma (where candidate holds 3 modules including the securities module)
Masters in Wealth Management (Post 2010 examination standards)
2, 3, 4 and 6, 12, 13
Certificate in Private Client Investment Advice and Management
Certificate in Private Client Investment Advice and Management (attained through a CISI competency interview and presentation only)
Diploma (where candidate holds 3 modules as recommended by the firm)
Masters in Wealth Management (Pre 2010 examination standards)
Member of the Securities Institute (MSI Dip) (where candidate holds 3 modules as recommended by the firm)
Certificate in Derivatives - Paper 2
Certificate in Investment and Financial Advice - Paper 1
Certificate in Investment Management (Level 3, pre 31 December 2013)13
13Certificate in Investment Management (Level 4)
Certificate in Investment Management - Paper 2
Certificate in Securities
Certificate in Securities - Paper 2
Certificate in Securities and Derivatives - Paper 2
Certificate in Securities and Financial Derivatives
Certificate in Securities and Financial Derivatives - Paper 2
Client Services Qualification
Diploma - Corporate Finance Paper
Diploma - Global Operations Management Module
Diploma - International Operations Management Module
Diploma - International Operations Module
Diploma - Operations Management Module
Diploma - Regulation and Compliance Module
Diploma (must include a pass in Regulation and Compliance Paper)
12Diploma in Corporate Finance (awarded jointly with The Institute of Chartered Accountants in England and Wales)15
Investment Administration Qualification - Asset Servicing Module
Investment Administration Qualification - Basics of CREST Module
Investment Administration Qualification - Bond Settlement Module
Investment Administration Qualification - Collective Investment Schemes Administration Module
Investment Administration Qualification - CREST Settlement Module
Investment Administration Qualification - Derivatives Operations Module
Investment Administration Qualification - Exchange - Traded Derivative Administration Module
Investment Administration Qualification - FSA Regulatory Environment Module
Investment Administration Qualification - Global Custody Module
Investment Administration Qualification - Global Securities Operations Module
Investment Administration Qualification - Global Settlement Module
Investment Administration Qualification - IMRO Regulatory Environment Module
Investment Administration Qualification - Introduction to Securities and Investment Module
Investment Administration Qualification - ISA Administration Module
Investment Administration Qualification - ISA and CTF Administration Module
15, 16,16 17
Investment Administration Qualification - ISA and PEP Administration Module
Investment Administration Qualification - Life Policy Administration Module
Investment Administration Qualification - OEIC Administration Module
Investment Administration Qualification - Operational Risk Module
Investment Administration Qualification - OTC Derivatives Administration Module
Investment Administration Qualification - Pensions Administration Module
Investment Administration Qualification - PEP Administration Module
Investment Administration Qualification - Portfolio Performance Measurement Module
Investment Administration Qualification - Private Client Administration Module
Investment Administration Qualification - SFA Regulatory Environment Module
Investment Administration Qualification - Unit 2 FSA Regulatory Environment - (Formerly the Investment Administration Qualification - Regulatory Environment Module)
Investment Administration Qualification - Unit Trust Administration Module
Investment Advice Certificate - Paper 1
Investment Advice Certificate - Paper 1 (No new registrations)
Investment Advice Certificate - Paper 2
Investment Advice Diploma (where candidates hold technical modules as recommended by the firm)
Investment Operations Certificate - Asset Servicing Module
Investment Operations Certificate – Client Money and Assets20
Investment Operations Certificate - Collective Investment Schemes Administration Module
Investment Operations Certificate - CREST Settlement Module
Investment Operations Certificate - Exchange - Traded Derivative Administration Module
Investment Operations Certificate - UK13 Financial Regulation Module
Investment Operations Certificate - Global Securities Operations Module
Investment Operations Certificate - Introduction to Securities and Investment Module
Investment Operations Certificate - ISA Administration Module
Investment Operations Certificate - Operational Risk Module
Investment Operations Certificate - OTC Derivatives Administration Module
18Investment Operations Certificate - Platforms, Wealth Management and Service Providers
Investment Operations Certificate - Administration of Settlement & Investments Module (previously known as the Private Client Administration Module)12
Level 3 Certificate in Investments (Derivatives) - Unit 3
Level 3 Certificate in Investments (Investment Management)
Level 3 Certificate in Investments (Investment Management) - Unit 5
Level 3 Certificate in Investments (Securities and Financial Derivatives)
Level 3 Certificate in Investments (Securities)
Level 3 Certificate in Investments (Securities) - Unit 2
Level 6 Diploma in Wealth Management
Member of the Securities Institute by examination
Principles of UK13 Financial Regulation
SFA Corporate Finance Representative Examination
SFA Futures and Options Representative Examination
SFA Registered Persons Examination - Section 1 (Regulation)
SFA Securities and Financial Derivatives Representative Examination
SFA Securities Representative Examination
TSA Registered Representative Examinations
Unit 1 - Financial Regulation
Unit 1 Financial Regulation (Formerly the Securities Institute Regulatory Paper)
Unit 6 - Principles of UK13 Financial Regulation
Certificate in Advanced Mortgage Advice
Certificate in Pension Transfer Advice23
Certificate in Securities Advice and Dealing
Diploma in Financial Planning (with appropriate gap fill) plus the Award in Long Term Care Insurance
Diploma in Financial Planning (subject to gap fill) + AF7 Pension Transfers23
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
Fellow or Associate (life and pensions route only)
Fellow (FCII) (where candidates hold appropriate life and pensions modules)
Fellow (FLIA Dip)
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
Certificate in Financial Planning plus the Award in Long Term Care Insurance
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
Award in London Market Insurance
Fellow or Associate including three pensions-related subjects as confirmed by the examining body
G60 paper of Advanced Financial Planning Certificate
Unit AF3 of the Advanced Diploma in Financial Planning
Certificate of Insurance Practice
Certificate of Insurance Practice (life or pensions route)
Life assurance paper (735) from the Associateship
Certificate of Insurance Practice (Pensions route)
Fellow or Associate (Pensions route)
Certificate in Equity Release (Formerly known as Certificate in Financial Planning and Lifetime Mortgages)
21, 2225
Advanced Financial Planning Certificate (must include a pass in G70 paper)
Financial Planning Certificate - Paper 1
CF1 - UK financial services, regulation and ethics
10, 14,20 15, 16, 17, 1318, 19
3,20 4
3,20 513
13RO1 Paper: Regulation and Ethics
10, 14,20 15, 16, 17, 18, 19
FA2 - Pensions administration paper
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
13Certificate in Investment Operations: Collective Investment Scheme Administration paper (FA4)
13Certificate in Investment Operations: Individual Savings Account Administration paper (FA5)
151516, 17
13Certificate in Investment Operations: Investment Client Servicing paper (FA6)
Certificate in Mortgage Advice - Paper 1
Mortgage Advice Qualification (MAQ) plus entry requirements
Financial Planning Certificate - Paper 1 (No new registrations after 17/12/2004)
13Deutsche Boerse AG
Certified Securities Trader (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation)
Certified Derivatives Trader (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation)
EFFAS Societies with accredited examinations
Certified European Financial Analyst
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
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)
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)
Fellow - achieved by examination (must include a pass in subjects 301 and 401 Investment and Asset Management (syllabus in force from 1998))
18, 1912
Fellow or Associate by examination (must include Investment Paper E (Syllabus in force until 1998))
Fellow or where the individual has passed all of the following modules CA1 and SA2
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)
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)
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)
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)
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)
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)
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)
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)
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)
FLSP Level 315 Advanced Apprenticeship in Advising on Financial Products (Mortgage Advice Pathway) or Level 3 Advanced Apprenticeship in Providing Mortgage Advice15
ICMA Centre/ University of Reading (Formerly ISMA Centre/ University of Reading)
Diploma in Capital Markets, Regulation and Compliance
Initial Test of Competence
Diploma in Corporate Finance (awarded jointly with The Institute of Chartered Accountants in England and Wales)15
Certificate in Collective Investment Scheme Administration
Certificate in Company Secretarial Practice and Share Registration Practice (including the Regulatory module within the examination)
15, 16. 17
Institute of Financial Planning (until 1 November 2015)25
Certified Financial Planner (syllabus in force until 31 October 2015)25
Fellowship (syllabus in force until 31 October 2015)25
Insurance Sector Education and Training Authority
National Diploma: Financial Services Long-Term Risk Assessment
Investment Administration Management Award
IPF Certificate in Property Investment
Registered Representative of Public Securities Examination (pre-April 1990)
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
Representative of Public Securities Examination (pre April 1990)
Representative of Public Securities Qualification - Type 1
Module B(ii), Securities and Portfolio Management
Module B(i), Retail Branded/ Packaged Products
Law Society of England and Wales/ Law Society of Northern Ireland
Law Society of England and Wales/ Law Society of Scotland/ Law Society of Northern Ireland
Lloyd's and London Market Introductory Test (Formerly the Lloyd's Introductory Test)
Lloyd's/ Chartered Insurance Institute
Lloyd's Market Certificate
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
Stock Exchange Registered Representative Examination
BA (Hons) Financial Services, Planning and Management
In-house module (only where the firm can demonstrate that none of the listed examinations are appropriate)
NIBE SVV the Dutch Institute for the Banking, Insurance and Stockbroking Industry
Diploma in Regulated Retirement Advice
Module 201: Providing for Retirement
Diploma in Member-Directed Pension Scheme Administration
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)
Society of Investment Analysts in Ireland
Certificate in Investment Management (at least 3 papers passed by examination)
South African Institute of Financial Markets
Ordinary and Senior Certificates
8, 14 and 10
Dual degree Executive MBA in Asset and Wealth Management
22The Institute of Banking in Ireland (Formerly the Chartered Institute of Bankers in Ireland)
22Fellow or Associate
22Professional Certificate in International Investment Fund Services
2215, 16, 17
The London Institute of Banking & Finance (formerly the ifs University College and the ifs School of Finance/Chartered Institute of Bankers)23
Diploma for Financial Advisers (post 2010 examination standards)
Professional Certificate in Banking (PCertB) (where candidate has passed the Practice of Financial Advice module)
Level 6 Diploma in Financial Advice (Adv Dipfa)
Associateship - (must include a pass in the Investment / Investment Management Paper)
Diploma for Financial Advisers (pre 2010 examination standards)
Professional Investment Certificate
Certificate for Financial Advisers and Certificate in Long-term Care Insurance
Pension Transfers plus Diploma for Financial Advisers (DipFA®) post 2010 exam standards
Pensions paper of Professional Investment Certificate
Certificate for Financial Advisers - Paper 1
Certificate for Financial Advisers - Paper 1 (Pre 31/10/2004)
Certificate for Financial Advisers - Paper 1 (Post 01/11/2004)
Certificate for Financial Advisers - Paper 2 (Pre 31/10/2004)
CeMAP Bridge paper plus entry requirements
Certificate in Mortgage Advice and Practice (Post 01/11/2004)
Diploma for Mortgage Advice and Practice DipMAP (plus entry requirements)
CeMAP bridge paper plus entry requirements (Pre 31/10/2004)
Certificate in Mortgage Advice and Practice (CeMAP) (Pre 31/10/2004) - Paper 1
Certificate in Mortgage Advice and Practice (Post 01/11/2004) - Paper 1
Certificate in Mortgage Advice and Practice (CeMAP) (Pre 31/10/2004)
Certificate in Regulated Equity Release (Formerly known as Certificate in Lifetime Mortgages)
The Securities Analysts Association of Japan (SAAJ)
CMA Level 2 (for individuals advising before 30 June 2009)
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
BSc Banking and Financial Planning
19University of South Wales
BSc (Hons) Financial Planning, Investment and Risk
2, 4 and 6, 12
MSc in international Accounting and Finance (where candidates hold modules as recommended by the firm)