CII Certificate in Securities Advice and Dealing
What is the purpose of this Certificate?
As the name suggests, this qualification has been developed for those wanting to advise on securities and/or deal on securities. It is also a useful qualification for those working in a supporting role.
If you are a PFS member you can use the designation CertPFS (Securities) after achieving this qualification.
What do I need to do to achieve this Certificate?
To pass the CII Certificate in Securities Advice and Dealing you must pass four units. These are:
CII Certificate in Securities Advice and Dealing
| Criteria | Details |
|---|---|
| Available units: | R01 Financial services, regulation and ethics R02 Investment principles and risk R03 Personal taxation J12 Securities Advice and Dealing |
| Credits required for qualification: | 70 |
| Level: | 4 |
R01 Financial services, regulation and ethics
| Criteria | Details |
|---|---|
| Credits | 20 - Diploma |
| Exam Format | Online, 2 hours |
| Number of Questions | 100 multiple choice questions (MCQs) |
| Nominal pass mark | 65% |
| 2018 Pass rate | 63.77% |
R02 Investment principles and risk
| Criteria | Details |
|---|---|
| Credits | 20 - Diploma |
| Exam Format | Online, 2 hours |
| Number of Questions | 100 multiple choice questions (MCQs) |
| Nominal pass mark | 65% |
| 2018 Pass rate | 59.99% |
R03 Personal taxation
| Criteria | Details |
|---|---|
| Credits | 10 - Diploma |
| Exam Format | Online, 1 hour |
| Number of Questions | 50 multiple choice questions (MCQs) |
| Nominal pass mark | 65% |
| 2018 Pass rate | 52.55% |
J12 Securities Advice and Dealing
| Criteria | Details |
|---|---|
| Credits | 20 - Diploma |
| Exam Format | Online, 2 hours |
| Number of Questions | 60 multiple choice questions (MCQs) and 3 case studies with 5 MCQs in each |
| Nominal pass mark | 65% |
| 2018 Pass rate | 74.73% |