CII Level 4 Certificate in Securities Advice and Dealing

Official qualification regulated by Ofqual, awarded by CII. Classified as a Vocationally-Related Qualification.

Qualification Level

Level 4

Awarding Body

CII

Syllabus Units

4 Units

Guided Hours

Flexible

Instant access to interactive lessons, quizzes, and spaced revision.

Course Syllabus & Study Modules

Complete breakdown of verified curriculum topics and learning objectives.

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Key Learning Objectives:

Understand the UK financial services industry in its European and global context.
Understand how the retail consumer is served by the financial services industry.
Understand legal concepts and considerations relevant to financial advice.
Understand the regulation of financial services.
Understand the financial regulators' responsibilities and approach to regulation.
Apply the principles and rules as set out in the regulatory frame
Apply the regulatory advice frame
work in practice for the consumer.
Understand the range of skills required when advising clients.
Understand the financial regulators' use of principles and outcomes based regulation to promote ethical and fair outcomes.
Apply the Code of Ethics and professional standards to business behaviours of individuals.
Critically evaluate the outcomes that distinguish between ethical and compliance driven behaviours.

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Key Learning Objectives:

Analyse the characteristics, inherent risks, behaviour and correlation of asset classes.
Understand the macro-economic environment and its impact on asset classes.
Understand the merits and limitations of the main investment theories.
Apply the principles of the time value of money.
Analyse and explain the nature and impact of the main types of risk on investment performance.
Analyse the characteristics, inherent risks, behaviours and relevant tax considerations of investment products.
Apply the investment advice process.
Understand the principles of investment planning.
Analyse the performance of investments.

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Key Learning Objectives:

Understand the UK tax system as relevant to the needs and circumstances of individuals and trusts.
Analyse the taxation of investments as relevant to the needs and circumstances of individuals and trusts.
Analyse the role and relevance of tax in the financial affairs of individuals and trusts.
Apply the knowledge of personal taxation to the provision of investment advice.

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Key Learning Objectives:

Analyse the characteristics, features, behaviours and risks of securities and equities in the context of the market for these products.
Understand the structure, features, and regulatory and trading environment of the securities market.
Apply dealing principles and practice relevant to client investment activity.
Understand clearing, settlement and custody principles and practice relevant to client investment activity.
Assess the factors that influence market behaviour relevant to investment advice.
Apply the relevant factors and considerations to decide and implement appropriate investment recommendations.