The Certificate in Securities and Certificate in Securities - Retail have been developed to provide employees advising and/or dealing in securities on behalf of professional or retail clients respectively with the knowledge and skills required for their job roles.
SII has redeveloped the Certificate Programme with representatives from leading global financial services firms, both wholesale and retail, and input from the Exchange LIBA, FOA and Accredited Training Providers to meet the needs of the changing industry. SII has also ensured these qualifications are globally portable, addressing the needs of the modern international securities markets.
The Certificate in Securities comprises the following units:
The Certificate in Securities - Retail additionally includes:
Key Features - Securities
MiFID Compliance
As a result of MiFID, firms may find that a number of their clients, which they treat as wholesale clients, seek reclassification as retail clients, to gain the additional protections to which retail clients are entitled. Employers advising retail clients must obtain the retail version of the qualification. SII has adapted all regulatory examinations to ensure they are MiFID compliant.
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Entry requirements
There are no formal prerequisites for the Certificate in Securities. 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.