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Qualifications & Exams > Certificate Programme > Securities and Financial Derivatives

Certificate in Securities & Financial Derivatives / Certificate in Securities & Financial Derivatives - Retail

The Certificate in Securities and Financial Derivatives and Certificate in Securities and Financial Derivatives - Retail have been developed to equip employees advising and/or dealing in Securities & Financial Derivatives on behalf of professional or retail clients respectively, with the knowledge and expertise required for their job roles. SII has developed the Certificate programme with representatives from leading global financial services firms, both wholesale and retail, with input from the Exchanges, LIBA and Accredited Training Providers to ensure the Certificates meet the needs of the changing industry.

SII has ensured that these qualifications are globally portable by covering the needs of the modern international securities & derivatives market.

What does the Certificate in Securities and Financial Derivatives include? The Certificate in Securities and Financial Derivatives comprises the following units: Securities & Financial Derivatives*      3 ½ hour paper consisting of 175 multiple-choice questions FSA Financial Regulation OR Principles of Financial Regulation     1 hour paper consisting of 50 multiple choice questions *Each section of the paper is assessed separately. Candidates must pass both sections in order to be awarded a pass overall. The Certificate in Securities and Financial Derivatives - Retail additionally includes:   Investment & Risk     1 ½ hour paper consisting of 60 multiple-choice questions.     Candidates advising retail clients who complete the qualification     after 19 November 2007 have to pass the Investment and Risk unit.

Key Features - Securities and Financial Derivatives Syllabus tailored to meet the needs of employees advising both     professional and retail clients Globally portable - internationally focused reflecting the needs of     an international market place Streamlined syllabus focusing on key concepts and principles     relating to the creation, valuation, trading and management of         financial instruments Comprehensive coverage of equities, debt securities and prime     brokerage including primary and secondary markets Enhanced coverage of valuation and accounting analysis as         well as the risk/reward relationship of investment strategies Streamlined syllabus focusing on key concepts and principles     underpinning the creation, valuation, trading and management     of financial instruments Comprehensive coverage of underlying global financial markets     and derivatives, including ET, OTC, credit and swap instruments

	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 protections that retail clients are entitled to. Employees advising retail clients must obtain the retail version of the qualification. SII has adapted all regulatory examinations to ensure they are MiFID compliant.

Additional Exam Information Entry requirements     There are no formal prerequisites for the Certificate in Securities and Financial     Derivatives. 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 can be found under the     Certificates Syllabuses page Certificate in Securities and Financial Derivatives Factsheet

Studying, Training, Booking your exam: SII's Certificate workbooks are 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 with one of our Accredited Training Providers (ATPs), click here to find your nearest training centre The certificate 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 when leaving the test centre.

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