The SII Certificate programme
The SII Certificate programme is a wide ranging group of qualifications designed specifically to meet the requirements of individuals working in the securities and derivatives markets who need to obtain Financial Services Authority (FSA) Approved Person status. The breadth of FSA activities is matched by the SII’s Certificates programme. Candidates must, however, ensure that they take the Certificate that is appropriate to the activity they are to undertake.
How to achieve an SII Certificate
The SII Certificates programme consists of:
a regulatory unit (either FSA Financial Regulation or Principles of Financial Regulation)
AND
a technical unit (either Securities, Derivatives, Securities and Financial Derivatives, Investment Management, Financial Derivatives, Investment and Risk* unit)
Candidates need to pass both the regulatory and a technical unit to achieve an SII Certificate.
* Retail employees advising and dealing in securities and /or derivatives also have to pass the Investment and Risk unit if they complete the qualification after 19th November 2007. Candidates need to pass both the regulatory and a technical unit to achieve an SII Certificate and pass Investment and Risk to gain a Retail Certificate.
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Certificate Models
Certificate Model for staff advising professional/ wholesale clients e.g Certificate in Securities
Certificate Model for staff advising retail clients e.g Certificate in Securities - Retail
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Entry qualifications
There are no formal entry requirements for the Certificate Programme. Experience in the industry will help candidates relate what they are learning to the job they are doing but it is not a requirement of taking the qualification. Examination entries are accepted from private individuals as well as via an employer.
Syllabus
Information on the current syllabus and examinations can be found on the Certificate Syllabuses pageThe syllabuses are regularly reviewed by senior industry practitioners. You must ensure that you have the up-to-date syllabus and workbook for the exam you are sitting.
Factsheet for each Certificate can be found under each Unit's page |
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Studying, Training, Booking your exam:
SII's Certificate workbooks were written by investment professionals and trainers with the candidate in mind, using worked examples, self-test questions and revision points. Order your book to start studying NOW
In addition to using the workbook, candidates can train at one of our Accredited Training Centres, click here to find your nearest training centre
The certificates programme is examinable via Computer Based Testing (CBT). Candidates sit their exams at one of the many CBT test centres located worldwide. Candidates receive instant results leaving the test centre. |
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For information on:
studying for your exam
exam training
booking your exam
exam policies and procedures
sample exam questions
tips and hints for passing your exam
Please visit the Exam Students Area
Further opportunities for Certificate holders
FULL SITE MAP (recommended for users with special accessibility requirements)
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