Join 40000+ of your fellow professionals and use our resources to pass your CII exams
14 Day Money Back Guarantee
You are either satisfied or you get your money back!

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

CriteriaDetails
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

CriteriaDetails
Credits20 - Diploma
Exam FormatOnline, 2 hours
Number of Questions100 multiple choice questions (MCQs)
Nominal pass mark65%
2016 Pass rate57.01%

R02 Investment principles and risk

CriteriaDetails
Credits20 - Diploma
Exam FormatOnline, 2 hours
Number of Questions100 multiple choice questions (MCQs)
Nominal pass mark65%
2016 Pass rate57.92%

R03 Personal taxation

CriteriaDetails
Credits10 - Diploma
Exam FormatOnline, 1 hour
Number of Questions50 multiple choice questions (MCQs)
Nominal pass mark65%
2016 Pass rate50.46%

J12 Securities Advice and Dealing

CriteriaDetails
Credits20 - Diploma
Exam FormatOnline, 2 hours
Number of Questions60 multiple choice questions (MCQs) and 3 case studies with 5 MCQs in each
Nominal pass mark65%
2016 Pass rateN/A