CII Certificate in Securities Advice and Dealing
What is the purpose of this Certificate?
This level 4 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% |
| Current Pass Rate | 64% |
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% |
| Current Pass Rate | 60% |
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% |
| Current Pass Rate | 56% |
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% |
| Current Pass Rate | 74% |