J09 (Paraplanning)
At the end of this unit, candidates should be able to demonstrate their ability to understand the role of the paraplanner in providing financial services, and evaluate and analyse the customer’s financial circumstances to provide potential solutions.
J10 (Discretionary Investment Management)
At the end of this unit, candidates should be able to analyse and apply financial information and portfolio management skills.
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.
CF1 (UK Financial Services, Regulation and Ethics)
This qualification develops an understanding of the financial services industry, including regulation and legislation.
CF4 (Retirement Planning)
This examination assesses a knowledge and understanding of the various pension products, the pension tax regime and retirement needs.
FA5 (Individual Savings Account Administration)
This qualification develops an understanding of investment issues, together with detailed guidance on the administration of individual savings accounts.
GR1 (Group Risk)
This examination assesses an understanding of group risks, including the operations of such schemes and their features and taxation.
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.
R05 (Financial Protection)
This qualification assesses a knowledge and understanding of and ability to analyse financial protection planning issues.
Diploma in Regulated Financial Planning
The RQF level 4 diploma in Regulated Financial Planning meets the FCA’s qualification requirements for retail investment advisers, developing core technical knowledge and financial planning capabilities across six core areas.
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.
Certificate in Discretionary Investment Management (CertPFS (DM))
The RQF level 4 certificate 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.
Certificate in Investment Operations
This level 3 certificate provides essential knowledge and skills for those working in a range of administrative and operational investment roles.
Certificate in Financial Services (General Route)
This route develops knowledge and understanding of the financial services industry in general, including regulation and legislation, and the fundamental aspects of customer service, administration and marketing in financial services, and key retail investment products.
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.
Certificate in Paraplanning
This level 4 certificate offers a dedicated qualification route, developing paraplanning skills, expertise and advanced technical knowledge in several key advisory areas.
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