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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.
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R02 (Investment Principles)
This qualification assesses a knowledge and understanding of investment products and the application of the investment advice process.
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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.
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R04 (Pensions and Retirement Planning)
This qualification assesses a knowledge and understanding of an ability to analyse pension and retirement planning issues.
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R05 (Financial Protection)
This qualification assesses a knowledge and understanding of an ability to analyse financial protection planning issues.
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R06 (Financial Planning Practice)
This qualification helps advisers develop and demonstrate their financial planning capabilities.
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CII Level 4 Diploma in Regulated Financial Planning
This Level 4 Diploma meets the FCA's qualification requirements for retail investment advisers. This enables the individual to meet the qualification requirements to practise in this area and expand their areas of expertise in their professional practice.
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J12 (Securities & Advice Dealing)
Securities and Advice Dealing (J12) develops knowledge and understanding of the features and risks of different securities, the structure and features of the securities market and relevant factors and considerations for appropriate investment recommendations.
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J10 (Discretionary Investment Management)
At the end of this unit, candidates should be able to analyse and apply financial information and portfolio management skills.
