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Qualifications & Exams > Certificate Programme

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, Investment Management, Financial Derivatives, Investment and Risk, or Risk in Financial Services 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 to complete the qualification. Candidates need to pass both the regulatory and a technical unit to achieve an SII Certificate and pass Investment and Risk to gain an SII Retail Certificate.

Which SII Certificate? All the Certificates are awarded to candidates who pass one of the regulatory units: FSA Financial Regulation or Principles of Financial Regulation, and one of the technical units listed below: Technical Units • Candidates interested in advising and dealing in securities, should refer to the Certificate in Securities. • Candidates interested in advising and dealing in derivatives including commodity derivatives, should refer to the Certificate in Derivatives. • Candidates interested in advising and dealing in financial derivatives should refer to the Certificate in Financial Derivatives • Candidates interested in managing investments should refer to the Certificate in Investment Management. • Retail employees advising and dealing in securities and /or derivatives also have to take an additional unit Investment and Risk Candidates interested in corporate finance, should refer to the Certificate in Corporate Finance Candidates interested in in managing risks should refer to the Certificate in Risk in Financial Services

Certificate Models

Certificate Model for staff advising professional/wholesale clients e.g Certificate in Securities

Certificate Model for staff advising private/retail clients e.g Certificate in Securities - Retail

Additional Exam Information 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

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.

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